Chief Compliance Officer

2 months ago

Mumbai Metropolitan Region, India Intellectual Capital HR Consulting Pvt. Ltd. Full time

Regulatory Compliance Oversight

▪ Monitor and interpret regulatory changes, ensuring the company’s operations comply with RBI

guidelines, SEBI regulations, Anti-Money Laundering (AML) laws, and other applicable statutes.

▪ Design and implement comprehensive training programs to educate employees on compliance

matters and foster a culture of compliance throughout the organization.

▪ Liaise with regulatory authorities and represent the NBFC in compliance-related matters.

▪ Ensure timely and accurate submissions of regulatory reports and filings.

Policy Development and Implementation

▪ Draft and update compliance policies, procedures, and standards.

▪ Implement and maintain a compliance program that addresses key compliance risk areas.

Risk Assessment and Mitigation

▪ Conduct regular risk assessments to identify potential compliance risks.

▪ Build an effective Compliance Program where all Risk Mitigation Plan (RMP)/Monitorable Action Plan

(MAP) points are complied with within the timelines prescribed to avoid any penal action from RBI

▪ Monitor the effectiveness of compliance controls and recommend |

▪ The Chief Compliance Officer (CCO) shall be a member of the 'new product' committee/s. All new

products shall be subjected to intensive monitoring for at least the first six months of introduction to

ensure that the indicative parameters of Compliance risk are adequately monitored.

Monitoring and Reporting

▪ Monitor day-to-day compliance activities and ensure adherence to policies.

▪ Prepare and present compliance reports to the Board of Directors and

senior management.

▪ Report any significant compliance issues or breaches to the appropriate

regulatory bodies.

Ethics and Integrity

▪ Promote ethical practices and standards within the organization.

▪ Address ethical issues and ensure they are resolved in accordance with company policies and

regulations.

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