Website:
pfi.com
Job details:
Director, Compliance - India
PFI Innovation Centre India is an exciting new innovation center. We’re building a future that helps people live better lives longer – and we’re looking for bold thinkers and team players to help us do it
Here, you’ll tackle complex challenges, collaborate with brilliant minds across the globe, and grow your career while helping millions achieve financial security.
a Purpose Driven Company – 150 Years
While the PFI Innovation Centre brand is new to India, you’ll be a part of the Prudential Financial, Inc. family. Founded in Newark, NJ, we service 50 million customers across more than 50 countries. With $1/334 trillion in assets, we’re a global leader in institutional asset management. The 2nd largest life insurer in the US and the 9th largest institutional global asset manager.
At the PFI Innovation Centre India, you’ll find high-performance culture that’s flexible, collaborative, and grounded in respect. We engage with candor, take calibrated risks, and hold ourselves accountable – always focused on delivering for our customers. It’s the standard we choose every day as we grow, perform, and win as one team. We offer valuable leadership, mentoring and learning opportunities, paired with the flexibility and support to help you thrive.
Whether you’re just starting out or ready to take your next step, we’ll help you grow with purpose and do the best work of your career.
What You Will Do
We are looking for a highly motivated, diligent, and skilled individual to join our exciting and dynamic team, as Director, Compliance. The role will report to the VP, Corporate Counsel and work closely with the U.S. based Global GCC Chief Legal and Compliance Officer and US based Compliance teams. This role will also be responsible for managing a team of Compliance professionals based in India.
What You Can Expect
Compliance leadership for the GCC in India:
- Develop and oversee the Compliance program for the innovation center that is aligned with the broader company strategy, global Compliance policies and local regulatory requirements.
- Manage a large team of compliance professionals supporting a diverse set of activities across the Compliance Department of Prudential Financial, Inc. Some of the Compliance support includes the following disciplines: Personal Securities Trading, Electronic Communications Monitoring, Investment Management Compliance Support and Financial Crimes Ops.
Oversight and Execution of the Compliance Framework
- Oversee and maintain compliance frameworks and policies that connect with the Prudential Financial, Inc. Enterprise Policies, frameworks, compliance practices/programs (including Anti-Bribery & Corruption, Sanctions, Privacy, Conflicts of Interest and Ethics) and meet local regulatory requirements (Corporate Secretarial, Corporate Social Responsibility, POSH Compliance).
- Assist with the design and implementation of mandatory compliance training and awareness materials for innovation center employees at time of hire and ongoing.
- Design and execute ongoing monitoring over key compliance risks of the innovation center.
- Periodically, assess and test key controls in place to mitigate key compliance risks of the innovation center.
- Advise on and monitor the innovation center’s implementation of action plans in response to issues resulting from Compliance monitoring and testing.
- Report and escalate compliance and ethics matters to management.
- Update compliance procedures to reflect and address regulatory changes or organizational needs.
- Identify and solve problems in a timely fashion, following established guidelines.
- Collaborate with leaders from other departments to ensure compliance and operational risks are mitigated and addressed when identified.
- Develop and track compliance metrics and reporting for senior management.
Manage Corporate Secretarial Function
- Manage Corporate Secretarial activities in compliance with Companies Act and applicable secretarial standards, including convening meetings of the board of directors and shareholders, maintaining statutory registers and records, preparing and filing secretarial forms and returns.
- Coordinating with internal stakeholders and external advisors to facilitate timely compliance with applicable legal and regulatory requirements.
- Supporting implementation of governance policies and internal compliance processes.
- Liaising with the Registrar of Companies/Ministry of Corporate Affairs and other regulators on corporate secretarial matters and the Reserve Bank of India, Authorised Dealer Banks on exchange control compliances.
- Report the status of corporate compliance to the board of directors/senior management.
What You Will Bring
- 10 – 15 years of relevant Compliance experience
- 5 – 8 years as a practicing/in-house company secretary
- Qualified company secretary and a member of the Institute of Company Secretaries of India (ICSI) holding a valid membership number
- Strong compliance risk management and subject matter expertise in local regulatory requirements
- Ability to manage a team of compliance professionals supporting work and teams in multiple geographic locations that span different grade levels
- Expertise in developing, implementing and tracking compliance programs for new businesses
- Strong organization, prioritization, relationship building and communication skills
- Proficiency in Outlook, PowerPoint, Word, Excel
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