Chief Compliance Officer

1 month ago

Mumbai, India Mangalam Placement Full time

**Location**

Mumbai

**Experience**

12-15 Years

**Key Skills**

Company Secretary, Compliance, RBI, CSR, Companies Act, Compliance and Secretarial, LLB, ca, cs, Statutory Audit - Finance, Internal Audit

**Position: Chief Compliance Officer**
**Qualification: CA,CS,LLB**
**Experience: 12 to 16 years**
**Location: Mumbai**

**Job description**

Key responsibilities include:
- Assist the Board and the Senior Management in overseeing the implementation of Compliance Policy, including policies and procedures, prescriptions in Compliance Manuals, internal codes of conduct, etc.
- Play significant role in identifying the level of Compliance risk in the organization.

The Compliance risks in existing / new products and processes shall be analyzed and appropriate risk mitigants put in place.-
- Ensure compliance of regulatory/ supervisory directions given by RBI in both letter and spirit in a time-bound and sustainable manner.

RBI will continue to expect an effective Compliance Program where all Risk Mitigation Plan (RMP) / Monitorable Action Plan (MAP) points are complied with within the timelines prescribed. Unsatisfactory compliance with RMP/MAP may invite penal action from RBI.- Attend to compliance with directions from other regulators in cases where the activities of the entity are not limited to the regulation/supervision of RBI. Further, discomfort conveyed to the NBFC on any issue by other regulators, and action taken by any other authorities / law enforcement agencies, shall be brought to the notice of RBI.
- The Compliance Department may also serve as a reference point for the staff from operational departments for seeking clarifications / interpretation of various regulatory and statutory guidelines.
- The CCO shall be the nodal point of contact between the NBFC and the regulators / supervisors and shall necessarily be a participant in the structured or other regular discussions held with RBI.

Further, compliance to RBI inspection reports shall be communicated to RBI necessarily through the office of the Compliance Function.- Recognize, develop, maintain, and administer all aspects of the NBFC\'s compliance program adequate to ensure adherence to applicable RBI laws and regulations for NFBCs
- SI/ Mid-layer in India, as well as implement cost effective compliance related solutions for the organization\'s compliance
- Navigating the ambiguities and regulatory complexities for development of fully compliant products being offered by the company.
- Responsible for correspondence with the regulators like RBI, MCA, data submissions.
- Handling end to end inspections by RBI
- Engaging with the Auditors (Internal Audit / statutory Auditors) in resolving queries.
- Special projects related to Regulatory approvals ;As, Due diligence, Governance etc.
- Reviewing, Drafting of RBI escalated complaints & Ombudsman matters.
- Work proactively to assess and prioritize risk and compliance issues, establish, implement, and manage compliance policies, procedures, and monitoring throughout the organization to ensure that the compliance program is effective and be efficient in identifying, preventing, detecting, and correcting non-compliance with internal policies and regulatory requirements
- Provide guidance to management and employees on ethics, business conduct, and compliance matters including the development and oversight of compliance training program
- Stay ahead of regulatory and legal developments governing regulatory compliance
- Product compliance, with experience of dealing with RBI
- Provide advice, guidance and insight to management and staff regarding new/emerging compliance issues. Consult and guide the company in establishment of controls to mitigate compliance risk
- Implementation of various policies such as code of conducts, whistle blower/vigil mechanism policy, insider trading policy, CSR, Anti Bribery policy along with managing/tracking their regular compliance.
- Seek clarifications / interpretation of various regulatory and statutory guidelines for implementation.
- Collaborate with other departments to ensure compliance with all relevant laws and regulations

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