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Svp- Risk & Compliance Job in Abc Consultants

Svp- Risk & Compliance

Abc Consultants 4+ weeks ago
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Job Summary
  • To lead the risk & compliance division of the investmentbank and provide extensive expertise and advise to all functions. Represents the firm as general counsel with clients, external agencies and regulatorybodies and ensures compliance of the regulatory framework. Establishment of various compliance policies,procedures and oversee its implementation and updation - for all Products.
  • Maintaining control and adherence to compliance in all aspects of the investment banks operations. Responsible for developing, directing and monitoring the firm's overall compliance and surveillance programs. Responsible for overseeing business activities within the full range of applicable regulatory environments. To identify and assess the compliance risks associated with business activities and advise the management on timely basis.
  • Compliance reviewing of investment banking documents such as NDA's, offer letters, issues agreements, etc. as may be requested by the business.
  • Compliance reviewing of infraadvisory business documents such as NDA's, offer letters, etc. as may be requested by the business.
  • Engaging with the compliance and risk officials at subsidiaries.
  • Periodical compliance monitoring /reviewing of subsidiaries on compliance risk in line with the regulatory requirements and testing its implementation.
  • Assist in establishment of systems and controls and its review for the parent company and its subsidiaries.
  • Engaging with the capital market regulator as may be necessary.
  • To ensure statutory compliance with SEBI and update business groups and management on regulatory amendments/ notifications/ updates etc and the implications of the same.
  • Periodical compliance risk sensitizationand training to employees on compliance aspects.
  • To identify potential areas of compliance by liberal vulnerability and risk, develop and implement corrective action plans for resolution of problematic issues and provide general guidance on how to avoid or deal with similar situations in the future.


Skills Required :
investment banking
Qualification :
LLB, CS
Experience Required :

12 to 20 Years

Vacancy :

2 - 4 Hires

Skills Required :

Investment Banking

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