Urgent Position of AVP Compliance with a Financial Services Company in Mumbai
Key Responsibilities :
– Liasoning with Regulators and actively engaged in participation on various regulatory matters with the Industry.
– Handling multiple tasks on the compliance side including handling regulatory inspections.
– Regulatory interface for the business units, acting as focal point of contact for regulators. Liaison with teams across the Company for providing information to regulators on time.
– Drafting applications and seeking regulatory approvals.
– Drafting, updating of regulatory and business policies/ processes.
– Advising on the Strategic deals/ transactions and advising on new product launches
– Assisting in coordination with legal counsels, reviewing documents, closing out transaction documents.
– Monitoring regulatory updates and disseminating the same to all concerned stakeholders and discussions with stakeholders.
– Conducting compliance reviews, alert senior management to significant compliance issues along with recommendations.
– Co-ordination during the implementation of the Compliance monitoring system.