Head of NBFC Compliance

3 weeks ago

Mumbai, India Alpha Alternatives Full time

Alpha Alternatives is a multi-asset class alternatives asset management platform based out of India and Singapore, with over 12000 Crores of assets under management, and deep focus on alpha generation. We are passionate about finding alternative investment opportunities that can deliver superior risk-return characteristics. We operate across various alternative spaces like Equities, Commodities, Absolute Returns, Structured Credit, Fixed Income, Quant, and Infrastructure. Our products span across various investment structures such as NBFC (ND-SI), AIF (Cat II & III), PMS, RIA, and Gift City.


Our team consists of 170+ people who are vastly experienced across domestic and global hedge funds and financial institutions and have strong academic credentials at top universities. We are strongly performance driven and look for people who share a similar DNA.


We are seeking a Company Secretary and/or LLB or Chartered Accountant with 15-20 years of work experience as the Head of Compliance for our NBFC (ND SI, with an asset size above 5,000 Crs). AAFSPL aims to create innovative financial strategies that consistently deliver alpha returns i.e. returns over and above the beta returns generated by the market. The company intends to seed and develop multiple financial strategies that generate alpha through rigorous research, prudent risk management, differentiated capital structure and highly efficient execution.


An ideal candidate for this position would be someone who has held a mid to senior position in a similar profile in the large/medium size NBFC having asset size greater than 5,000 crores focused on investing. We are seeking a candidate that can be groomed into a Head of Group Compliance/ Governance position in years to come.


Roles & Responsibilities:


a) Lead the entire compliance function end-to-end for the NBFC.


  • Establish and implement all the compliance policies that are applicable to NBFCs. Regularly review and upgrade the policies as required by regulation.
  • Build and implement processes and systems to ensure smooth functioning of the NBFC w.r.t compliance function.
  • Review and ensure timely and accurate submissions of various regulatory filings are on time and accurate.
  • Facilitate establishing an audit program for the NBFC.


b) Stakeholder management


  • Monitor regulatory changes, assess impact on business, provide comments on consultative papers and act as a Nodal point of contact between the Company and the Reserve Bank of India (RBI) and to be a participant to the consultations or other regular discussions with RBI.
  • Ensuring the timely response/ interactions thereof to the RBI onsite and offsite inspections and be the central coordinator for any regulatory exercises.
  • Lead and facilitate interactions with the Board, Audit Committee, and other committees. Apprise all with the status of compliance with respect to the regulatory requirements and assist them to make an informed judgment on whether the NBFC is managing its compliance risk effectively.


c) Value addition


  • Get deeply involved with the Product team in creation of financial strategies/products right at the inception and provide understanding of applicable regulations.
  • Interpret regulations and seek clarifications from Regulator and from the market, as required.  
  • Assess changing regulations and proactively highlight potential risk areas and implement solutions accordingly.


d) Recommend and institutionalize best governance policies and practices.


DNA:


  • We expect you to have higher energy, higher intellectual capability, and a desire to handle bigger responsibilities than an average professional of your age/experience will generally do.
  • We expect you to take a lot of initiative to do on-the-job learning about different financial instruments & products.
  • We expect you to create a positive environment for your team and help your team members grow professionally as well.


Compensation:


Salary will be discussed individually with selected candidates. We value long-term players, and the compensation will have a significant element of performance-linked bonuses. In the long run, if you do well, you can expect to create disproportionately higher value for yourself.


Location: Dadar, Mumbai.

Candidates applying from cities other than Mumbai shall have a clear conviction about moving to Mumbai before applying. WFH only in case of exigency and not in routine course

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