
Compliance Leadership Position
6 days ago
Key Job Summary:
- Oversee end-to-end compliance and surveillance functions, ensuring adherence to regulatory requirements.
- Manage equity research function activities, including regulatory filings and internal control mechanisms.
- Develop, implement, and monitor comprehensive compliance policies and frameworks aligned with industry best practices.
- Draft, review, and negotiate legal documents, agreements, and internal policies.
- Liaise with regulatory authorities, auditors, and other relevant entities on compliance matters.
- Prepare and submit periodic reports to regulatory bodies and stakeholders, maintaining effective communication.
- Engage in continuous review and updating of compliance processes across business units.
- C coordinate with auditors, SEBI officials, and stock exchange inspection teams during audits and inspections.
- Manage license applications for new business initiatives or expansions.
- Pertain to foreign subsidiaries' compliance obligations, ensuring global regulatory alignment.
Key Responsibilities:
- Implement compliance strategies based on regulatory requirements.
- Ensure accurate records of compliance activities.
- Maintain effective communication with regulatory bodies and internal stakeholders.
- Conduct regular risk assessments and develop mitigation strategies.
- Stay up-to-date with regulatory changes.
About the Role:
- This is a critical leadership position within our organization.
- The successful candidate will be responsible for leading our compliance efforts.
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