Chief Compliance Officer

1 month ago

mumbai, India See & Recruit Full time
Designation: Chief Compliance Officer
Reporting: CEO
Department/ Group: Compliance
Location: Corporate Office (Parel)
Qualifications:Company Secretary with an LLB Degree
Role and Responsibilities :
and review of all policies and agreements as per applicable compliance framework
internal compliance review and monitoring activities, including periodic review of the Department.
key role in ensuring compliance under regulations issued by SEBI for Alternative Investment Funds (AIF) and by RBI for non-banking financial companies.
compliances applicable to the Company, identify implications and implement compliance requirements.
abreast of amendments in laws, regulations, directions, and guidelines applicable to the Company and ensure steps are taken as and when any new implications arise.
all departments for compliances to be ensured in their respective areas.
in creating organization-wide policies and create compliance framework for the Company.
implementation of internal policies and procedures and creating awareness of the same.
the compliance monitoring program for the group.
periodic and even based filings with RBI and SEBI.
with the other functions / departments to ensure timely and accurate submission of returns and information to regulators.
in automating reporting and controls.
in dealing with queries raised by RBI, SEBI and or any other statutory bodies.
and updating compliance related MIS(s).
all departments in preparing and providing Compliance reports on a regular basis.
data from various departments, review of the same before submission to RBI during inspection.
in advising management of the legal, regulatory implication of proposed new initiatives of the Company.
with various regulatory and government bodies for approval updates and ad hoc requests/query
with queries raised by RBI or any other statutory bodies
alleged violations of RBI laws, rules and regulations applicable to NBFCs and recommend procedures for corrective action.
and build relations with the Registrar of Companies, Reserve Bank of India Depositories, and other statutory authorities; periodically provide returns/forms required by them.
provide advice to management on good governance practices and compliance of Corporate Governance norms as prescribed under various Corporate and Other Business Laws and regulations and guidelines
and providing Compliance report on a regular basis

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