HariOm Communication - Compliance Head - NBFC Segment (7-10 yrs)

Compliance Head for an NBFC (Non-Banking Financial Company), responsible for ensuring that the company adheres to all relevant laws, regulations, and internal policies. Key responsibilities and requirements for this role:

Key Responsibilities:

- Develop and Maintain Compliance Programs: Establish and maintain compliance programs to ensure adherence to applicable laws and regulations, including RBI guidelines.

- Risk Assessment: Proactively assess and prioritize risk and compliance issues, and implement policies and procedures to mitigate these risks.

- Regulatory Compliance: Ensure compliance with statutory requirements and regulations prescribed by RBI, NHB, and other applicable authorities.

- Policy Implementation: Oversee the implementation of compliance policies and procedures across the organization.

- Training and Awareness: Provide ongoing training and awareness programs for employees to ensure they understand and follow compliance requirements.

- Audit and Monitoring: Conduct regular audits and monitoring to ensure the effectiveness of the compliance program.

- Incident Management: Manage and respond to compliance incidents and breaches, and implement corrective actions.

- Regulatory Correspondence: Handle correspondence with regulators, including data submissions and responses to regulatory queries.

- Documentation and Reporting: Maintain comprehensive documentation of compliance activities and report to senior management and the board.

Requirements:

Educational Background:

- Bachelor's degree in law, finance, or a related field; MBA or CA/CS.

Experience:

- Minimum 7-10 years of experience in compliance, with at least 3-5 years in a senior role.

Certifications:

- Professional certifications such as CA, CS, or relevant legal qualifications.

Skills:

- Strong knowledge of RBI regulations, corporate governance, risk management, and internal controls.

- Interpersonal Skills: Excellent communication and interpersonal skills to effectively liaise with internal and external stakeholders.