Compliance Manager - Merchant Banking Division - Investment Banking Domain

Our client is a MNC in the Investment Banking domain. We are looking for a Compliance Manager for the Merchant Banking division at Mumbai Office. The key criteria is at least 3 years of relevant experience in Compliance relating to Investment Banking [M&A, PE Advisory]

Other Key Specifications are as follows :

- Manage and execute compliance policies and procedures governing the business's compliance program.

- Responsible for the creation and update of the Compliance and Ethics program plan and ensure its execution.

- Overseeing and monitoring the implementation of the compliance program.

- Monitor the compliance program, carry out risk assessments and compliance reviews to ensure policies and procedures are being followed. Carry out periodic evaluation of the compliance Programs and make appropriate changes and improvements.

- Responsible for establishing and setting the tone of compliance throughout the organization.

- Recommend the initiation of investigative procedures in response to alleged violations of rules, regulations, policies, procedures, and the Code of Conduct.

- Govern the responsibility to report misconduct and noncompliance, the path for reporting, and protection from retaliation.

- Circulate the instances of compliance failures among staff along with preventive instructions.

- Vet the guidelines / circulars issued, for compliance with regulatory guidelines before these are disseminated amongst the operational units.

- Advise and assist the senior management on compliance laws, rules and standards, including keeping them informed on developments by establishing written guidance to staff on the appropriate implementation of compliance laws, rules and standards through policies and procedures and other documents such as compliance manuals, internal codes of conduct and practice guidelines.

- To provide clarification on any compliance related issues.

- Preparing and presenting clear and concise compliance reports to the committee and board.

- To apprise the Board and senior management/CEO on regulations, rules and standards and any further developments.

- To report promptly to the Board / ACB / MD & CEO about any major changes / observations relating to the compliance risk.

- The compliance function should monitor and test compliance by performing sufficient and representative compliance testing and the results of such compliance testing should be reported to the senior management/CEO.

- Interacting with regulators on compliance issues.

Monika