Compliance Officer - Lawyer - Financial Services

Discipline - Banking

Subsector - Compliance & Regulatory

Location - Mumbai

About our Client - Our client is a diversified MNC Financial institution with significant growth plans for India. They have recently set up their India office and are looking for a seasoned legal & compliance professional who would be responsible to manage compliance for their India office along with liaising with regulators.

Job Description - Reporting into the APAC Legal and Compliance Director, you would be responsible for providing legal support to the India business and ensure compliance with the local regulations dealing with regulators like RBI, SEBI etc. Working as the Compliance officer, your key responsibilities shall be:

- Institute and maintain an effective compliance program that promotes a clear understanding of new and existing compliance policies.

- Identify potential areas of compliance vulnerability and risk while developing & implementing corrective action plans for resolution of issues

- Drive an effective compliance management program through formulation of relevant policies, review of critical MIS, controls and regulatory customer complaints and timely escalation of issues

- Handle all aspects of company secretarial work for the organization

- Ensure regular and proactive engagement with the regulators and establish suitable working relationship with them

The Successful Candidate - You should be a qualified lawyer with 7 to 10 years experience working with a financial institution.

- Prior experience in dealing with RBI, SEBI, Banks and other regulatory bodies like ROC, Ministry or Corporate Affairs etc.

- Strong knowledge and experience in India's laws, rules and regulations.

- Strong written and verbal communication skills with proven track record of success.

What's on Offer - Excellent Opportunity to work in a critical role in an enterprising environment within a fast growing international financial institution. You will get an opportunity to work in a fast paced global environment.

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