SVP - Compliance Operations, Leading NBFC
Job Description
- Opportunity to work with a leading NBFC \n
- Opportunity to work with the CCO and make and impact \n\n
- A degree in law, finance, or a related field with a focus on compliance or risk management. \n
- Proven expertise in compliance operations within the financial services industry. \n
- Experience of 14 + years in compliance \n
- Strong leadership skills to manage teams and drive compliance initiatives effectively. \n
- Excellent analytical and problem-solving abilities to address complex compliance challenges.
About Our Client
\n\nThe hiring company is a large NBFC within the financial services industry, It is known for its lending solutions.
\n\nJob Description
\n\n* Daily download of guidelines from the websites of regulators / bodies, circulation to the regulatory team, and maintenance of trackers
\n * Receipt and tracking of all process notes and policies of various departments received by the department for vetting
\n * Maintenance of trackers and records for all regulatory / statutory correspondences received by the Company
\n * Maintenance and monitoring of Key Performance Indicators (KPIs) and Key Risk Indicators (KRIs) for the department
\n * Periodic review of various policies and relevant process notes owned by the department and implementation thereof
\n * Ownership of software applications (, DAKSH and other applications), including user management
\n * Preparation of materials, convening meetings, recording minutes, and tracking Action Taken Reports (ATRs) for the Compliance Committee
\n * Preparation of notes and ATRs for the Board, Board Committees, and other committees where the Compliance Department participates or is mandated
\n * Centralized record maintenance for all activities of the Compliance Department
\n * Obtaining self-certifications from all stakeholders
\n * Management of the Whistle Blower Policy and framework , Management of the Anti-Bribery & Anti-Corruption Policy and framework
The Successful Applicant
\n\nA successful SVP - Compliance Operations should have:
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