Head of Regulatory Affairs
4 days ago
The Head of Compliance is responsible for leading the development and implementation of effective compliance strategies within the merchant banking company. This role involves ensuring adherence to regulatory requirements, internal policies, and ethical standards, thereby mitigating legal and financial risks. The Head of Compliance will work closely with regulatory authorities, internal stakeholders, and external partners to achieve this objective.
Key Responsibilities:
Compliance Framework Development:
- Develop and maintain a comprehensive compliance framework that aligns with regulatory requirements and industry best practices.
- Collaborate with internal stakeholders to ensure seamless integration of compliance policies and procedures into business operations.
Risk Management & Governance:
- Identify, assess, and mitigate compliance risks associated with merchant banking transactions, IPOs, M&A and advisory services.
- Establish a robust internal compliance monitoring system and risk assessment framework.
Internal Controls & Audits:
- Develop and enforce compliance policies and procedures across the organization.
- Conduct internal audits and regulatory inspections to assess adherence to compliance policies.
Legal Compliance:
- Review contracts, agreements, and financial documents to ensure regulatory compliance.
- Work closely with legal teams to manage regulatory disputes, penalties, or enforcement actions.
- Oversee due diligence processes for financial transactions and investments.
Qualifications:
- Education: CS/LLB/MBA (Finance) or relevant compliance certification.
- Experience: 8+ years in compliance, preferably in merchant banking or financial services.
- Strong knowledge of regulatory frameworks, corporate governance, and risk management.
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