Chief Compliance Officer (CCO)

Role Summary:
We are seeking a dynamic and experienced Chief Compliance Officer (CCO) to oversee and manage the compliance framework for our Investment Banking operations in India. The ideal candidate will be responsible for ensuring adherence to all relevant laws, regulations, and internal policies, mitigating risks, and fostering a culture of compliance. This role requires a strong understanding of the financial services industry, particularly in investment banking, and a proven ability to implement and maintain robust compliance programs.

Key Responsibilities:

- Develop, implement, and maintain comprehensive compliance policies and procedures in line with SEBI, RBI, and other regulatory guidelines applicable to investment banking.
- Conduct regular compliance training for employees to ensure awareness and understanding of regulatory requirements and internal policies.
- Monitor and assess the effectiveness of compliance controls and identify areas for improvement.
- Manage regulatory filings, inspections, and inquiries from statutory bodies.
- Advise senior management on compliance-related matters and emerging regulatory trends.
- Oversee the implementation of anti-money laundering (AML) and know your customer (KYC) procedures.
- Conduct internal investigations into potential compliance breaches and recommend corrective actions.
- Manage relationships with external legal counsel and regulatory bodies.
- Stay abreast of changes in financial regulations and their impact on the business.