Chief Compliance Officer

4 weeks 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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