Regulatory and Compliance Manager

Black & Grey HR is recruiting for an upcoming Financial Services company in Mumbai, India.Our Client is looking to hire a Regulatory & Compliance Manager to join their team. They will be akey member of the team to lead regulatory and compliance efforts for the exchange.

- Responsible for managing regulatory relationships and strategy
- Manage and maintain all compliance policies and procedures
- Conduct periodic compliance testing, trading surveillance, risk assessments, assess findings, and address both the strengths and deficiencies with key stakeholders
- Understand and implement all regulatory policies and procedures and ensure that any updates or amendments are communicated to the team
- Manage the company s activities related to internal and external audits
- Ensure regulatory filings, reports and documentation are completed with accuracy and expediency
- Perform necessary regulatory filings and registrations
- Train company staff on compliance programs and fraud prevention measures
- Provide guidance on regulatory issues to the business and assist at an early stage in product design and risk evaluation

Requirements

- Proven experience in managing risk and compliance issues within a regulated business and implementing such compliance programs

- Knowledge of legislation and regulation relating to AML, banking, securities law or trading activities
- Familiarity with industry practices and professional standards, and experience with regulators

- Understanding of the functionality relating to multiple asset classes including digital assets, securities, commodities, financial futures, and options
- Working knowledge of wider international regulatory regimes

- Solid time management skills, communication, interpersonal and team interaction skills
- Professional certification is a plus

Benefits

Attractive Salary + Benefits

- Proven experience in managing risk and compliance issues within a regulated business and implementing such compliance programs - Knowledge of legislation and regulation relating to AML, banking, securities law or trading activities - Familiarity with industry practices and professional standards, and experience with regulators - Understanding of the functionality relating to multiple asset classes including digital assets, securities, commodities, financial futures, and options - Working knowledge of wider international regulatory regimes - Solid time management skills, communication, interpersonal and team interaction skills - Professional certification is a plus