Vice President - Compliance

Expro Consulting
  • Mumbai
  • 40-50 lakh
  • 10-15 years
  • Views
  • 19 Apr 2018

  • Senior Management-Legal, Compliance/ Regulatory

  • Financial Services/ Capital Markets
Job Description

We have an urgent requirement with one of the of the world's leading global custodians, combining the banking and treasury expertise at Mumbai

About the Group :

One of the world's leading global custodians, combining the banking and treasury expertise, with the operational and risk management proficiency, to offer high-quality Custody and Fund Accounting Services to domestic and foreign clients.

Role : VP Compliance

Qualification : LLP + CS

Profile :

The Compliance Department is seeking a highly motivated and experienced Compliance

expert to lead the Compliance team.

2. This role will focus on assisting the Custody and Fund Accounting business management

teams in managing compliance risk.

3. The position will provide compliance and regulatory advisory to the business and associated

support functions, including advice on existing and new banking regulations (including SEBI

guidelines) and relevant BSE/NSE/NSDL/CDSL regulatory requirements.

4. The position should be able to evaluate evolving regulations, assess their impact, build

and maintain control mechanisms to ensure compliance of the regulations.

5. The role will also involve the review of new business initiatives, operational procedures and

major operational and systems changes from a regulatory perspective and participate in

strategic initiatives to assist with the on-going development of a robust compliance framework.

6. Executing the Compliance strategy, handle regulatory inquiries, investigations and lead management of regulatory inspections.

7. In its capacity covering Custody Operations, the position will also be responsible for

managing and coordinating relationships with key regulatory agencies for registration

formalities/procedures/ requirements of FIIs.

8. Other aspects of the role include regulatory risk assessments, the establishment of policies,

performing training and executing compliance testing (as needed).

9. You may also be required to prepare management and governance reports as needed.


Competencies/Skill sets for this job

Regulations Compliance Compliance Strategy

Job Posted By

About Organisation

Expro Consulting