Chief compliance officer

3 weeks ago

Mumbai, India STCI Primary Dealer Ltd Full time
STCI Primary Dealer Limited , is one of the largest Primary Dealer in India, accredited and licensed by the Reserve Bank of India (RBI) to undertake the activities of bidding, underwriting, trading and market making in Government securities. The basic objective of the Primary Dealer system set up by RBI in 1995, is to strengthen the infrastructure in the Government Securities market by developing bidding, underwriting and market making capabilities outside the purview of the RBI, so as to make the market deep, liquid, vibrant and broad-based through increased secondary market trading volumes, enhanced liquidity and turnover and narrow bid-ask spreads.
We are a leading player in the fixed income and debt market, and our operations include trading in Government Securities, Treasury Bills, State Development Loans (SDLs), Corporate Bonds, Money Market instruments like Certificate of Deposit (CDs) / Commercial Paper (CPs) and Interest Rate derivatives. In addition, we also trade on proprietary account in the equity markets (Cash & F&O) and currency derivatives market.
Role: Chief Compliance Officer (CCO)
We are looking for a candidate who has at least twelve (12) years of experience in the Compliance role to head the Compliance Function of the Company.
Key Candidate Attributes:
·        Member of the Institute of Company Secretaries of India (ICSI) with 12-15 years of total work experience in Secretarial, Legal & Compliance Functions, including relevant experience working in the Compliance Function of an NBFC or a Bank/FI.
·        Good domain knowledge and grasp of regulations, legal requirements and statutory guidelines and provisions applicable to NBFCs.
·        Experience in handling various compliance related matters with RBI, SEBI, Stock Exchanges, MCA, Labour Law compliances, State Laws etc.
·        Experience in independently handling and bringing to completion compliance audits and end-to-end filing of various RBI & SEBI regulatory returns.
·        Experience in handling Compliance Management Software for compliance monitoring.
·        Experience in carrying out regular Compliance Testing and presentation of the quarterly Compliance Testing Report (CTR) to the Audit Committee of the Board (ACB).
Key responsibilities:
·        Head the Compliance Function of the Company responsible for identification of the key Compliance risks in the organization.
·        Ensure compliance with directions from all regulators including RBI/SEBI, etc.
·        Oversee the implementation of the Compliance Policy and Compliance Risk Assessment Plan as approved by the Board of Directors.
·        Conduct testing of the Compliance mechanism and submit a report to the Audit Committee of the Board (ACB) on a quarterly basis.
·        Ensure compliance of all regulatory/ supervisory directions given by RBI in a time-bound and sustainable manner and become a Single Point of Contact (SPo C) for all RBI related matters.
·        Serve as a single Nodal / reference point for the staff of the Company with respect to operational departments seeking clarifications / interpretation of various regulatory and statutory guidelines.
Indicative Remuneration package :
·        Fixed CTC: Commensurate with experience and qualifications
·        Variable Pay:  Purely performance based in line with market & extant regulatory guidelines.
Interested candidates may mail their resume to or to The Head, Human Resources (HR), STCI Primary Dealer Ltd, A Wing, 8 th Floor, Marathon Innova, Marathon Next Gen Compound, Off G K Marg, Lower Parel (W), Mumbai – 400 013

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