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SVP - Compliance Operations

Mumbai Permanent View Job Description
The SVP - Compliance Operations will oversee and ensure adherence to regulatory requirements within the NBFC industry This role requires a strong understanding of compliance frameworks and the ability to lead operational excellence in a Mumbai-based environment.
  • Opportunity to work with a leading NBFC
  • Opportunity to work with the CCO and make and impact

About Our Client

The hiring company is a large NBFC within the financial services industry, It is known for its lending solutions.

Job Description

* Daily download of guidelines from the websites of regulators / bodies, circulation to the regulatory team, and maintenance of trackers

* Receipt and tracking of all process notes and policies of various departments received by the department for vetting

* Maintenance of trackers and records for all regulatory / statutory correspondences received by the Company

* Maintenance and monitoring of Key Performance Indicators (KPIs) and Key Risk Indicators (KRIs) for the department

* Periodic review of various policies and relevant process notes owned by the department and implementation thereof

* Ownership of software applications (e.g., DAKSH and other applications), including user management

* Preparation of materials, convening meetings, recording minutes, and tracking Action Taken Reports (ATRs) for the Compliance Committee

* Preparation of notes and ATRs for the Board, Board Committees, and other committees where the Compliance Department participates or is mandated

* Centralized record maintenance for all activities of the Compliance Department

* Obtaining self-certifications from all stakeholders

* Management of the Whistle Blower Policy and framework , Management of the Anti-Bribery & Anti-Corruption Policy and framework

The Successful Applicant

A successful SVP - Compliance Operations should have:

  • A degree in law, finance, or a related field with a focus on compliance or risk management.
  • Proven expertise in compliance operations within the financial services industry.
  • Experience of 14 + years in compliance
  • Strong leadership skills to manage teams and drive compliance initiatives effectively.
  • Excellent analytical and problem-solving abilities to address complex compliance challenges.

What's on Offer

  • Opportunity to work in a leadership role within the financial services sector in Mumbai.



If you are ready to take the next step in your career as an SVP - Compliance Operations, apply now to join a leading organization in Mumbai and contribute to excellence in risk and compliance.

Quote job ref
JN-012026-6931721

Job summary

Function
Banking & Financial Services
Sub Sector
Compliance & Legal
What is your area of specialisation?
Financial Services
Location
Mumbai
Job Type
Permanent
Job Reference
JN-012026-6931721

Diversity & Inclusion at Michael Page

We don't just accept difference - we celebrate it. We encourage applicants from all backgrounds to apply for this role and are committed to building inclusive, diverse workplaces where everyone can thrive. If you require any support or reasonable adjustments during the recruitment process, please let us know.