Head - Compliance - NBFC/Remittance Firm

Company-

Our client is a financial institution, grown into one of the leading global remittances, Foreign Exchange and payment solutions brands in the world.

Position- Head Compliance (NBFC)

Job Location- Mumbai

Role -

- Hands on experience of implementing a compliance framework as required by the RBI, SEBI & IRDA & ensuring the adherence to the same

- Monthly/Quarterly/Half yearly/Annual/Event Based compliances for RBI & IRDA

- Listing Compliances as per LODR

- To act as a focal point with Regulators for clarifications, implementation on regulations and obtaining specific approvals

- To advise business and support units in compliance issues arising from their operations and business

- Filing of Quarterly Financial Result, Corporate Governance Report and Shareholding Pattern, Statement of Investor Grievances with BSE and compliance of various other clauses of LODR

- Intimation of change/modification pertaining to membership with Depository

- Inspections of NSDL and CDSL

- Replied to grievances/ complaints forwarded by Depositories, Weekly and submission of monthly IG report to NSDL & CDSL

- Filling of monthly, bi-monthly & other periodic reports to SEBI,RBI & IRDA

- Analysis of circulars/guidelines issued by regulators on regular basis and Implementation of the same.

- Vetting of Polices and Agreements from Compliance perspective

- Event based submission to Exchange and Depositories. (Change in director, Shareholding Pattern Compliance Officer etc)

- Preparing Disclosure under SEBI (SAST) & SEBI (Prohibition of Insider Trading) Regulations

- Liaising with Practicing Company Secretary for Board Meeting & other ongoing projects eg. Secretarial Audit, MCA filings & compliances, etc.

- Passed Company Secretary Professional Examination

- Completion of IRDA certification for Principal Officer

- Completion of Securities Intermediaries Compliance Certification would be an added advantage

- Attended trainings of Exchanges, IRDA and SEBI

Work Experience:

- Minimum of 7 years of post-qualification professional experience of implementation & management of RBI, SEBI & IRDA compliances

Vipin Pandey
Sr. Relationship Manager
Phone - +91 8744000602
Connect on Linkedin- linkedin.com/in/an-it-recruiter/