SVP - Compliance Operations

Opportunity to work with a leading NBFC
Opportunity to work with the CCO and make and impact

Job Description    . Daily download of guidelines from the websites of regulators / bodies, circulation to the regulatory team, and maintenance of trackers

. Receipt and tracking of all process notes and policies of various departments received by the department for vetting

. Maintenance of trackers and records for all regulatory / statutory correspondences received by the Company

. Maintenance and monitoring of Key Performance Indicators (KPIs) and Key Risk Indicators (KRIs) for the department

. Periodic review of various policies and relevant process notes owned by the department and implementation thereof

. Ownership of software applications (e.g., DAKSH and other applications), including user management

. Preparation of materials, convening meetings, recording minutes, and tracking Action Taken Reports (ATRs) for the Compliance Committee

. Preparation of notes and ATRs for the Board, Board Committees, and other committees where the Compliance Department participates or is mandated

. Centralized record maintenance for all activities of the Compliance Department

. Obtaining self-certifications from all stakeholders

. Management of the Whistle Blower Policy and framework , Management of the Anti-Bribery & Anti-Corruption Policy and framework
The Successful Applicant    A successful SVP - Compliance Operations should have:
A degree in law, finance, or a related field with a focus on compliance or risk management.
Proven expertise in compliance operations within the financial services industry.

Experience of 14 + years in compliance
Strong leadership skills to manage teams and drive compliance initiatives effectively.
Excellent analytical and problem-solving abilities to address complex compliance challenges.
What's on Offer     Opportunity to work in a leadership role within the financial services sector in Mumbai.

If you are ready to take the next step in your career as an SVP - Compliance Operations, apply now to join a leading organization in Mumbai and contribute to excellence in risk and compliance.