Senior Manager/Assistant Vice President - Compliance - BFSI (10-15 yrs)

The Sr. Manager or Assistant Vice President of Compliance at NERL ensures adherence to legal and regulatory standards, develops and monitors compliance programs, conducts risk assessments, trains employees on compliance issues, investigates violations, and reports to senior management to maintain the company's integrity and ethical standards.

Key Responsibilities :

- Monitor all aspects of compliance relating to functions/processes assigned to the person.

- Interact with WDRA officials for ensuring smooth implementation of the Regulatory directives.

- Develop systems and processes for ensuring that periodical compliance that needs to be adhered by the Repository is met with on a regular basis

- Identify critical compliance processes for close monitoring business.

- Creating effective policy framework for regulatory compliance

- On boarding of Repository Participants/Continued Compliance/Surrender approval

- Managing the Regulatory compliance checklist for organization

Work Experience:

Around 10 to 15 years of work experience in compliance department of:-

- Securities markets or financial services/mutual funds or Banking or Insurance industry

Qualification: A Member of the Institute of Company Secretaries of India or Bachelor's Degree in Law from reputed institutes

Skills & Knowledge:

- Develop processes and systems to monitor key parameters for compliance within the laid down guidelines

- Implementation of controls

- Ensure adherence to compliance matters

- Up-dation and maintenance of records for all the compliance related matters on the website

- Identify critical compliance processes for close monitoring business.

- Prepare regular reports/MIS and analysis for CEO/senior management/WDRA for effective compliance mechanism.

- Understanding of Repository ecosystem and operations will be an added advantage

- Ability to lead a talented and motivated team of professionals

Competencies: Working independently

- Commitment to excellence

- Deep accountability

- Analytical ability and an eye for detail

- Proactive and result oriented, Fast learner