Chief Compliance Officer, Kolkata

Job Description:

Roles and Responsibilities of Chief Compliance Officer

Preferably from Listed Financial Companies, Fintech Companies. If MFI could be avoided, that’s desired.

• Defining the necessary level of knowledge on existing and emerging regulatory compliance requirements across the organization.
• Developing the annual compliance work plan that reflects the organization's unique characteristics.
• Periodically revising the compliance plan in light of changes.
• Overseeing and monitoring the implementation of the compliance program.
• Providing strategic direction to the management team on compliance.
• Preparing and presenting clear and concise compliance reports to the Board.
• Interacting with regulators on compliance issues.
• Developing policies and programs that encourage managers and employees to report suspected fraud and other improprieties, without fear of retaliation.
• Independently investigating and acting on matters related to compliance. 
• Monitoring the update of procedures following potential changes in operational processes 
• Identification and assessment of risks related to non-compliance with regulatory requirements. 
• Ensure that the organization follows various regulatory requirements and that employees are in adherence with internal procedures and policies, provides leadership, direction, and integration of compliance activities to fulfil organization needs and state and federal regulations. Directs the formulation of strategic compliance planning in support of the company’s vision, mission, and values.