Manager - Compliance - Financial Services

Compliance Manager

Employee Trade Monitoring & Surveillance:

- Effective management of Employee Dealing system with regard to updating of data in a timely manner and ensuring approvals/reporting of the trade by employees are processed by the system in a hassle free manner

- Monitoring compliance by Employees of the organization and identifying violations if any with regard to Internal Code of Conduct as per SEBI(PIT)regulations and presenting the same to Disciplinary Action Committee for appropriate action

- Identifying gaps if any in the Employee Dealing system and take steps for enhancement/upgradation of the system

- Oversee and manage effective implementation of Employee Trading Policy and ensuring updates/amendments if any are aligned with the regulations

- Resolving the queries of the Employees with regard to compliance with the Code of Conduct of the Company in a timely manner

Merchant Banking Compliance:

- Providing support to business to ensure NDAs/EL are in compliance with relevant regulations/policies

- Ensure compliance by providing timely approval/revert to business for onboarding a client

- Ensuring that regulatory reports are submitted to the regulator in timely manner as per SEBI(Merchant Banking) Regulations

- Providing support to business in any other matters as required

- Implementation of Core Compliance Policies and Training/Awareness

- Oversee and manage effective implementation of various Group policies such as Anti-Bribery and Corruption policy, Anti-money Laundering Policy, Conflict of Interest Policy

- Developing training modules and conducting training to create awareness on core compliance policies/processes i.e. Employee Trading Policy, Anti-Money laundering, Conflict of Interest policy

Conflict of Interest Management:

- Monitor and oversee process for conflict clearance at the group level across businesses and recommend steps to mitigate/manage the same in consultation with Compliance Head

Regulatory Queries/Audits:

- Oversee and Manage all regulatory queries/audits- from document collation & submission to query resolution in a timely manner

- Oversee Internal and Statutory Audit with respect to core compliance policies and process including regulatory audits, if any

II. Key Requirements:

- 7 to 8 Years of experience in Compliance function in Financial Services organization including experience in SEBI laws such as Insider Trading, Conflict of Interest, Compliance Training & Awareness, AML implementation, etc.

- Post-graduate Qualification such as MBA, CA, CS, LLM or equivalent

- Candidate having experience of implementing compliance management tools such e-dealing will be added advantage

- Thinker and Problem solver / solution based approach

- A business acumen partnered with a dedication to compliance framework

- Strong interpersonal and communication skill

- Strong sense of ethics, accountability and judgment. Highly organized, detail oriented and proactive.