Head - Compliance

RevRath Inc
  • Bangalore
  • Confidential
  • 9-16 years
  • 29 Jan 2016

  • Compliance/ Regulatory, Legal, Advisory

  • Law/ Legal/ LPO, Financial Services/ Capital Markets
Job Description

Primary Role:

Compliance is to function as final authority who will monitor and ensure compliance's of all relevant statutes, regulations & laws applicable to our company.

Job Responsibilities :

* To monitor and ensure that the activities of our company are carried out in line within regulatory frame work and ensure all compliance's (statutory, legal, regulatory etc.,) are adhered to in a timely and appropriate manner;
* To ensure timely filing of returns prescribed by RBI;
* To handle RBI inspection by coordinating with various departments of the company and providing details to the regulator on a timely basis;
* To ensure corporate and regulatory filings with SEBI, RBI, Stock Exchange, and Registrar of Companies;
* To develop a monitoring system (policy, process & checklist) and ensure responsible officers/departments are executing compliance requirements in a timely & appropriate manner;
* To report the status of various compliance's to Management & Board on a monthly basis;
* To respond to and / or monitor alleged violations of rules, regulations, policies, procedures, and standards of conduct by evaluating or recommending appropriate actions including investigation, legal action, settlement advise, corrective measures;
* To identify potential areas of compliance vulnerability and risk; develop/implement pre-emptive action plans for problematic areas;
* To collaborate, develop and impart an effective compliance training program(s) for all functions at all levels of the organization;
* To review overall performance of the Compliance Program and take appropriate steps to improve its effectiveness.
Qualification :
* Post graduate degree in Law
* Having good understanding of corporate governance will be an advantage

Skills required :

* Hands-on experience in a Bank / NBFC (with a national presence) in the areas of compliance management; Labour laws & related compliance's; Good understanding of business establishment /trade license and related regulations across various states;
* Good understanding of Company Laws, and compliance requirements of BFSI domain;
* Ability to work proactively with people at different levels in the organization including the Board;
* Has proven ability in being decisive and assertive in ensuring all compliance requirements are followed and adhered to in past organizations;
* Excellent written and verbal communication & presentation skills;
* Proficient in Microsoft Office.

Experience :

Overall of 15+ years of experience with last 5 years in compliance management for a BFSI organization with national presence

Age : 40+ years

Job Posted By

Operation .

About Organisation

RevRath Inc