Head Compliance Officer - MNC Securities Company

RIverForest Connections Private Limited
  • Mumbai
  • Confidential
  • 12-25 years
  • 26 May 2015

  • Compliance/ Regulatory

  • Security/ Law Enforcement, Financial Services/ Capital Markets
Job Description

Job Description:

  • Accountable for developing the end-state (3-year) operating model that aligns with the strategic ambition of the business;
  • Work with the relevant heads of business/product heads to ensure that initiatives satisfy financial and non financial objectives
  • Undertake a range of activities across Retail business line, which encompasses all aspect of the business (front-to-back)
  • Plan, develop and implement strategy to support the day-to-day business requirements, from a support & control perspective within agreed budgets and timescales
  • Ensure the business has a set of robust control mechanisms in place that satisfy internal policies and procedures and meet external regulations
  • Establish and maintain appropriate systems for measuring various aspects of business and support functions development
Key Relationships:
  • Retail business (including research)
  • Legal & Compliance
  • Corporate Secretary
  • Risk
  • Finance
  • Technology
  • Operations
  • Human Resources
  • Operational Risk
  • Internal Audit
  • Control & governance committees
  • Equity PGC; CBMS PGC
  • Other COO team Members
  • External / Statutory Auditors
Key Measurables:
  • Business meeting their stated objectives and goals
  • Overall control and reporting environment is operating at a high level
  • Business complies with all policies and procedures
  • Free access to all documents and records in within the unit and for area of responsibility
  • Free access to management team
  • Free access to all meetings in which jurisdiction to Company
Judgement / Complexity:
  • Entity / Country / Global wide reach
  • Multi-cultural, multi-professional disciplines and multi-product environment
  • Comprehensive business / market / product knowledge
  • Strong interpersonal skills in networking and influencing decisions take in the business and in infrastructure teams
  • Strong communication skills oral, written and presentation
  • Strategic and with a macro dimension of business and support functions
  • Strong analytical skills and ability to make decisions
  • Sound business judgment and strong in operational control and risk assessment
  • Candidate must have exposure of equity securities company

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