Chief Compliance Officer

3 weeks ago

Mumbai, India See & Recruit Full time

Chief Compliance Officer - (CCO) _ Mumbai Fort Office

Experience in the financial sector (Banks / NBFCs) / Asset Reconstruction company only ,with an in-depth exposure to the compliance, risk and legal frameworks of an Asset reconstruction company/financial institution. The incumbent should be conversant with all aspects of Regulatory and Statutory compliance.

will be responsible for compliance framework of the and establishing standards and implementing procedures to ensure that the compliance processes for the are effective and efficient in identifying, assessing, monitoring, managing and reporting non-compliance with the applicable regulatory guidelines and regulations. The CCO shall ensure that all regulatory and statutory requirements applicable to Asset Reconstruction Companies are complied and any directions given by the RBI are followed in letter and spirit in a timebound and sustainable manner.

Key Result Areas expected of the role:

1. Head the Compliance Department.

2. Effectively manage the compliance function, including ensuring policies and standard operating procedures (SOPs) with respect to all business activities of are in compliance with the regulatory guidelines and are commensurate with the complexity of the operations.

3. Identify, document and assess the compliance risks associated with the business activities.

4. Develop a risk-oriented compliance audit plan for monitoring and testing. The activity plan along with the findings should be submitted to the Board / Board Sub-Committee for approval / information at a defined frequency.

5. Be a reference point to the Board / other departments (i.e. Internal Audit, Risk Management, Business Managers) for opining on compliance issues with respect to business activities.

6. Ensure all compliance related returns are filed with the regulator in a timely manner

7. Examine any violations of rules, regulations, policies and procedures and recommend corrective actions.

8. Apprise the Board and senior management on regulations, rules and standards and any further developments and ensure communication is sent to all stakeholders for incorporation of relevant guidelines in the policies / SOPs.

9. Ensure compliance of Supervisory observations made by RBI and/or any other directions in both letter and spirit in a time bound and sustainable manner by the management. The incumbent should be sensitive to the regulatory supervisor’s expectations.

Key Skills:

1. Hands on knowledge of Master Circular on ARC, Banking Regulation Act, SAR FAESI Act, Insolvency and Bankruptcy Code, PMLA, FEMA, FIMMDA etc.

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