Compliance Manager

3 weeks ago

Bengaluru, India PhonePe Full time

The PhonePe Ethics and Compliance team plays a critical role in the successful execution of the firm's ethical and compliance mission. The Financial Services Compliance function at PhonePe, ensures the development and maintenance of a strong compliance culture within the company by developing and maintaining program infrastructure that identifies, measures and monitors compliance with applicable laws, regulations and rules that govern our business globally. Compliance teams work closely with business, legal, risk, and audit functions to provide expertise on regulatory compliance matters, assess and measure compliance and related risks, and monitor and test the adequacy of the firm's compliance environment.

We are looking for an experienced Compliance Manager who is well-versed in the current regulatory frameworks applicable for Banks, Non Bank Financial Sectors and corporate governance best practices in order to support all aspects of PhonePe’s regulatory compliance practices including program management for various regulatory implementations, risk assessment, licensing, training and building and implementing policies and procedures across the entire PhonePe ecosystem.

The role demands that you are a professional of high ethical standards with prior regulatory compliance experience and are able to work diligently to complete your duties either independently or otherwise, keeping in mind the objectives of PhonePe. You must be comfortable communicating with various stakeholders to deliver compliance objectives and be result-oriented to ensure that your requirements are delivered on time.


Roles & Responsibilities:


Regulatory Implementations Charter:

  • Work closely with Business on implementing relevant regulatory guidelines applicable for the product in review and based on that understanding formulate a project plan that would ensure compliance to all Non-IT regulations as stated in the regulatory guidelines.
  • ETAs and Timelines to implementation is to be tracked and closed with all relevant stakeholders.
  • Share regular and timely updates with all relevant stakeholders with regards to the progress on the ongoing regulatory implementations.
  • Collect and Store relevant evidence, received from stakeholders from the various implementations done, for future Audit requirements.
  • Responsible for formulating and providing compliance certifications on all regulatory implementations carried out on a periodic basis with various stakeholders.
  • Keep abreast of all regulatory developments as well as evolving best practices in compliance controls and leverage the same to implement better and current compliance standards.
  • Assist Senior Manager during regulatory inspections and ensure closure of the observations with multiple stakeholders
  • Liaise with internal stakeholders to explain the audit requirements and observations in a timely fashion.
  • Support management to compile, maintain and close-out audit finding responses, implementation of controls as per audit recommendations, etc. and ensure all Non IT audit observations.


Policies and Procedure Governance:

  • Ensure review of all Non-IT related policies and procedures on a periodic basis or whenever there is change in process and place it for Management approvals to board on a timely fashion.
  • Work with Business Legal and Product stakeholders to build product (or) company specific Policies and Procedures whenever there is a new product being introduced to our platform.
  • They would work closely with the Senior Manager to implement controls at regular intervals to ensure that compliance procedures are regularly followed.
  • They would regularly help evaluate the efficiency of compliance implemented processes and controls and work to improve them continuously.
  • They would be responsible for documenting and operationalising compliance related processes to ensure adherence to regulatory guidelines or internal policy.


Team Building and Management Reporting

  • Should have previously helped in building and managing high performing team members and be able to build growth charters for each of their team members.
  • Prepare and maintain reports and KPIs for the Compliance team to ensure processes are healthy and functional.


Basic and Advanced Qualifications:

  • Any Post Graduate in Finance and Risk Management / MBA / CA / CS with at least 6+ years of experience in the Financial Service Compliance space and a proven track record as a team lead or manager.
  • In-depth knowledge on the compliance environment of the banking / payment / insurance and fintech’s industry along with Indian regulations and current market practices.
  • A subject matter expert with comprehensive knowledge on the Indian Financial Services Industry and its guiding regulations, fraud control environment, risk categorization methodologies and is able to create, monitor and evaluate policies and procedures.
  • Excellent knowledge of reporting procedures and record keeping guidelines.
  • Ability to communicate clearly and precisely to the point.
  • Has an analytical mind able to “see” the complexities of procedures and regulations.
  • Is a problem solver and always ready to take ownership of deliverables assigned.
  • Has high ethical standards and is able to work diligently to complete your duties.
  • Certified compliance professional is a plus.

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