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Head , Compliance , BFS

  • 10-16 yrs
  • Not Disclosed

Job Description

Job Description :, Would be responsible for implementation and execution of a comprehensive execution strategy and framework relating to Compliance., Would be the nodal point of contact between the firm And the various regulators, Would play a central role in the area of identifying the level of compliance risk in each business line, products and processes and issue instructions to operational functionaries , formulate proposals for mitigation of such risk., Would assess internal guidelines on products,processes,policies for compliance with regulatory guidelines , prior to finalization of such internal product,process,policy guidelines, Would incorporate a robust mechanism to ensure that (i) regulatory guidelines , instructions are promptly issued , disseminated within the organization. (ii) monitor compliance with the regulatory guidelines, instructions (iii) highlight the instances of compliance failures to CEO,Senior Management, Fulfil specific statutory responsibilities (e.g. calendarizing and ensuring filing of returns to Statutory Bodies, Stock Exchange filings, fulfilment of other listing responsibilities in terms of disclosures etc.)., Liaison for various Inspections by regulator(s) and closure of observations made, Co,ordinate for comprehensive review and reporting on compliance issues and actions at yearly,quarterly,monthly basis as may be decided by the Board,ACB,CEO.