Chief Manager / AVP – Compliance Investment Banking (Maharashtra)
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Vitasta Consulting pvt ltd – Date posted: 05 Sep 2017
Responsible for compliance with internal guidelines as well regulations applicable to business including regulatory reportings, regulatory audits and inspections, training and awareness, providing proactive and expert compliance advisory service
Assist management in identifying and assessing the compliance risks associated with the business activities, proposed activities and client relationships
Development as well as assessment of adequacy of policies and procedures and other documents governing business activities to ensure compliance with applicable business regulations
Promptly alert senior management / GCG to significant compliance issues as well as periodically report to senior management / GCG on the effectiveness of the Companys compliance program
Keep abreast of regulatory developments or other matters affecting the business activities, systems and controls and Communicate changes to policies, procedures and regulatory requirements and oversee implementation thereof
Partnering, as appropriate, with business and support groups to manage relationships with regulators and assist with the Companys response to regulatory investigations
The incumbent is expected to have good knowledge and experience on regulations governing NBFCs, SEBI & FEMA compliances in relation to Financing business, restructuring norms, SMA- JLF regulations, Fixed Income markets etc.,
Partnering with stakeholders within Credit & Fixed Income business unit and across the Group, promote & manage the culture and practice of Compliance within regulatory requirements and as laid down by Company policies.
Good communication skills, with experience of dealing with executives of all levels including the capacity to articulate the case of regulatory compliances in the language of business.
Excellent communication and inter-personal skills, Eye for detail and Ability to manage ambiguity and analyse to provide clear guidance…