Chief Compliance Officer – Banking & Financial Services Zyoin

The Corporate Institute; Bengaluru; Vor Ort; INR 1.100.000 - 1.800.000; Vollzeit

Zusammenfassung

The Corporate Institute is seeking an experienced Chief Compliance Officer to lead the organization’s enterprise-wide compliance framework. The role will serve as the principal authority for regulatory compliance, risk management, internal controls, and corporate governance.

The incumbent will ensure operations adhere to RBI, SEBI, PMLA, AML, and KYC guidelines, with responsibility for regulatory interactions and reporting. A strong background in governance and ethics is essential.

Qualifikationen

• Bachelor’s degree in Law, Finance, Accounting, or Business Administration.
• Master’s degree (LL.M./MBA) or professional qualification such as CA or CS preferred.

Aufgaben

• Establish and maintain enterprise-wide Compliance Management Framework aligned with policies and regulations.
• Act as primary contact for regulatory authorities (RBI, SEBI, MCA, FIU-IND) for interactions and filings.
• Monitor regulatory developments and translate updates into operational policies and guidelines.
• Identify, assess, and mitigate compliance risks across departments and product lines.
• Design and implement risk-based Compliance Monitoring and Testing; ensure AML/KYC and data protection compliance.
• Provide independent compliance updates to the Board and Audit Committee and lead risk assessments.

Kenntnisse

Regulatory compliance

Risk management

Internal controls

Governance

Stakeholder management

Ausbildung

LL.B./BA Law

LL.M./MBA or CA/CS preferred

Jobbeschreibung

Role Overview:

We are seeking an experienced and high-integrity Chief Compliance Officer (CCO) to lead the organization’s enterprise-wide compliance framework. The role will serve as the principal authority for regulatory compliance, risk management, internal controls, and corporate governance.

The incumbent will be responsible for ensuring that business operations adhere to applicable statutory laws, industry regulations, and internal ethical standards, including RBI, SEBI, PMLA, AML, and KYC guidelines, as applicable.

Key Responsibilities:

1. Regulatory Compliance & Governance:

• – Establish, implement, and maintain a robust enterprise-wide Compliance Management Framework aligned with board-approved policies and regulatory directives.


• – Act as the primary point of contact for regulatory authorities, including RBI, SEBI, MCA, and FIU-IND, for regulatory interactions, reporting, inspections, and statutory filings.


• – Monitor regulatory developments and translate updates into operational policies, procedures, and business guidelines.


• – Identify, assess, and mitigate compliance risks across business functions, product lines, and corporate operations.

2. Risk Management & Internal Controls:

• – Design and implement a risk-based Compliance Monitoring and Testing Programme to assess adherence across departments.


• – Ensure compliance with AML, KYC, Fair Practices Code, customer data protection, and financial crime prevention requirements.


• – Review new financial products, digital platforms, lending policies, and third-party partnerships to ensure regulatory compliance before implementation.


• – Maintain independent compliance oversight and ensure appropriate segregation of duties to avoid conflicts of interest.

3. Board Reporting & Management Advisory:

• – Provide independent compliance updates and reports directly to the Board of Directors and Audit Committee, covering compliance status, key risk indicators, and regulatory breaches.


• – Lead annual enterprise-wide compliance risk assessments and develop remediation plans.


• – Advise senior leadership on regulatory, compliance, and legal implications of strategic business decisions, corporate restructuring, and expansion initiatives.

4. Compliance Culture, Ethics & Training:

• – Promote a culture of ethics, transparency, and regulatory accountability across the organization.


• – Oversee investigations and resolution of compliance escalations, whistleblower disclosures, and conflict-of-interest matters.


• – Develop and conduct mandatory compliance and ethics training programmes for employees.

Candidate Profile:

Education:

• – Bachelor’s degree in Law (LL.B.), Finance, Accounting, or Business Administration.


• – Master’s degree (LL.M./MBA) or professional qualification such as CA or CS will be preferred.

Experience:

• – 10 – 15+ years of relevant experience in legal, regulatory compliance, or risk management.


• – Experience within Banking, Financial Services, NBFC, FinTech, or related regulated industries.


• – Minimum 3 – 5 years of experience in a senior leadership or compliance management role.

Technical & Regulatory Expertise:

• – Strong understanding of RBI regulations, circulars, and regulatory directives.


• – Knowledge of SEBI regulations, statutory filings, and corporate governance requirements.


• – Strong working knowledge of AML, KYC, PMLA, and financial crime prevention frameworks.


• – Experience in developing and managing enterprise-wide compliance frameworks and internal control systems.


• – Strong stakeholder management, leadership, analytical, and decision-making skills.

Key Stakeholders:

• – The role will work closely with senior management and cross-functional teams, including Legal, Risk, Engineering, Product, and Operations, while maintaining independent oversight of the organization’s compliance framework.