Compliance Lead

Job Title : Compliance lead

Job description

• Develop and implement a robust compliance framework aligned with applicable financial regulations and industry standards.
• Conduct risk assessments to identify and mitigate compliance risks associated with fintech products and services.
• Oversee the implementation and monitoring of anti-money laundering (AML) and know-your-customer (KYC) programs.
• Ensure compliance with data privacy laws, cybersecurity regulations, and consumer protection regulations.
• Collaborate with product development teams to embed compliance controls in fintech solutions.
• Provide compliance training and guidance to employees across various business functions.
• Monitor regulatory changes and updates relevant to the fintech industry, and adapt compliance strategies accordingly.
• Represent the company in regulatory examinations, audits, and investigations.
• Establish and maintain relationships with regulatory bodies and industry associations.
• Lead the compliance team and promote a culture of ethical conduct and regulatory adherence.
  

Requirements

• Bachelor's degree in Law/ Finance/ Business Administration, or a related field. A Company Secretary (CS) qualification or relevant compliance certifications (e.g., NISM certifications for Mutual Funds and PMS) are highly preferred.
• Proven experience in a compliance role within the Indian financial services sector, with specific exposure to: Mutual Fund distribution regulations (SEBI (Mutual Funds) Regulations, AMFI guidelines). Portfolio Management Services (PMS) regulations (SEBI (Portfolio Managers) Regulations). Regulations pertaining to equity, bond markets and knowledge in companies act. Insurance regulations (e.g., IRDAI (Protection of Policyholders' Interests) Regulations, IRDAI (Licensing of Insurance Agents) Regulations, and other relevant IRDAI guidelines).
• Extensive knowledge of financial regulations, compliance programs, and risk management in the fintech industry.
• Technical understanding of fintech products, services, and emerging technologies, along with their compliance implications.
• Strong leadership and management skills to lead and collaborate with cross-functional teams and stakeholders.
• In-depth expertise in relevant regulations, industry standards, and ability to adapt to regulatory changes.