Head - Compliance - NBFC

We are looking for a Head of Compliance for a well-established Indian NBFC. The position will be based at Cochin.

Role and Responsibilities:

- Aids relevant stakeholders on compliance & ethics matters.

- Oversee and manage the compliance system, monitoring the company's trading and other activities.

- Interact with dealers and client servicing personnel on client investment guidelines, trading alerts and related matters.

- Help develop, draft and execute policies and procedures that are designed to detect and prevent violations of the securities laws and mitigate various types of risk, including compliance risk.

- Review and analyze various reports and business practices to ensure they are harmonized with the policies and procedures designed for serving the above.

- Manage the identification, communication, and tracking of regulatory changes and analyze the impact of such changes.

- Continuously review current policies, procedures and surveillance activities and seek to modify and improve the compliance program.

- Work on regulatory-related inquiries and inspections.

- Assist with the development and implementation of relevant employee training programs.

- Complete and track weekly, monthly, quarterly and annual certifications/ licenses.

- Supervise, manage and oversee Compliance Officers and their assignments.

Skills and Competencies required:

- Compliance, risk management, and auditing experience. Must have been in a leadership role in the Capital Market industry. Thorough knowledge of Securities law and of the regulatory environment, including applicable laws, regulations and regulatory guidance. Knowledge of RBI regulations on NBFC and experience in Corporate law will be an added advantage.

- Experience 10 to 20 Years.