Head of Compliance

Role Overview

The Head of Compliance is responsible for ensuring the organization adheres to all regulatory, legal, and internal policy requirements. The role involves overseeing regulatory compliance, corporate governance, risk mitigation, liaison with regulators, and embedding a strong compliance culture across the organization.

Key Responsibilities

1. Regulatory Compliance & Governance

• Ensure compliance with applicable laws and regulations (RBI, SEBI, PMLA, Companies Act, FEMA, etc., as applicable).

• Monitor changes in regulatory frameworks and advise management on impact.

• Develop, implement, and update compliance policies and procedures.

• Oversee regulatory filings, returns, and disclosures.

• Conduct periodic compliance reviews and internal audits.

2. Risk & Compliance Monitoring

• Develop compliance risk assessment frameworks.

• Implement internal controls and monitoring systems.

• Conduct compliance training for employees.

• Investigate compliance breaches and recommend corrective actions.

3. AML / KYC Compliance

• Ensure adherence to Anti-Money Laundering (AML) and KYC guidelines.

• Oversee STR/CTR reporting.

• Implement PMLA-related policies and procedures.

4. Regulatory Liaison

• Act as the primary point of contact with regulators (RBI/SEBI/Stock Exchanges).

• Handle inspections, audits, and regulatory queries.

• Prepare submissions and responses to regulatory authorities.

5. Policy Development & Ethics

• Develop Code of Conduct and ethics framework.

• Ensure whistle blower mechanism implementation.

• Promote a compliance-driven culture.

6. Corporate Governance (CS Role)

• Ensure compliance with Companies Act and Secretarial Standards.

• Manage Board & Committee meetings (agenda, minutes, resolutions).

• Maintain statutory registers and filings with ROC.

• Advise Board on governance best practices.

• Ensure proper documentation and regulatory disclosures.

7. Legal Oversight (LLB Role)

• Review and vet agreements, contracts, and legal documents.

• Manage litigation, disputes, and regulatory notices.

• Coordinate with external legal counsel.

• Provide legal advisory to business teams.

Key Skills & Competencies

• Strong knowledge of financial regulatory frameworks.

• Expertise in Companies Act, SEBI/RBI regulations.

• Excellent drafting and documentation skills.

• Risk management and internal control expertise.

• Strong stakeholder management and leadership skills.

• High ethical standards and integrity.

• Analytical and problem-solving abilities.

Experience Required

• 8–15+ years in compliance/legal/secretarial roles in financial services.

• Prior experience dealing with regulators preferred.

• Experience leading compliance teams.

Location:

Churchgate, Mumbai

Working Days:  Mon to Fri (WFO) - 9.00 am to 6.00 pm
2nd and 4th Sat off
1st, 3rd and 5th Sat (WFH) - 10.00 am to 5.00 pm

Please do not apply if you are not comfortable with the job location and the required working days