Compliance Officer-NBFC

4 weeks ago

Mumbai, Maharashtra, India FatakPay Full time

Job Description: Audit and Compliance Manager - NBFC / Fintech Industry

Position: Audit and Compliance Manager

Location: Andheri – Mumbai

Reports to : COO

Job Overview:

The Audit and Compliance Manager will be responsible for overseeing and managing the internal audit and compliance functions within the organization. This role requires a thorough understanding of the regulatory environment, strong analytical skills, and the ability to develop and implement effective audit and compliance programs.

Key Responsibilities:

  • Audit Management:
  • Develop and execute a comprehensive audit plan to evaluate the effectiveness of internal controls, financial reporting, and operational processes.
  • Conduct regular internal audits to assess the compliance of company operations with established policies, procedures, and regulations.
  • Identify areas of risk and provide recommendations for improving internal controls and processes.
  • Prepare detailed audit reports, highlighting key findings and recommendations for management.
  • Compliance Oversight:
  • Ensure the company complies with all relevant local, state, and federal regulations, as well as industry standards.
  • Develop and maintain compliance policies and procedures, ensuring they are up-to-date and effectively communicated across the organization.
  • Monitor changes in regulatory requirements and assess their impact on the company's operations.
  • Conduct compliance training programs for employees to enhance awareness and understanding of regulatory requirements and ethical standards.
  • Risk Management:
  • Identify potential areas of compliance vulnerability and risk, and develop/implement corrective action plans.
  • Collaborate with various departments to develop and implement risk mitigation strategies.
  • Maintain a risk management framework to ensure risks are identified, assessed, and managed effectively.
  • Reporting and Documentation:
  • Prepare and present audit and compliance reports to senior management and the board of directors.
  • Maintain comprehensive documentation of all audit and compliance activities, findings, and recommendations.
  • Ensure timely and accurate reporting of compliance issues to regulatory authorities, as required.
  • Team Leadership:
  • Lead and manage the audit and compliance team, providing guidance, training, and support.
  • Foster a culture of integrity, accountability, and continuous improvement within the team.
  • Conduct performance evaluations and provide constructive feedback to team members.

Qualifications:

  • Master's degree in Finance, Accounting, Business Administration, or a related field.
  • Minimum of 6-10 years of experience in audit and compliance within the financial services or fintech industry.
  • Strong knowledge of regulatory requirements and industry standards relevant to the fintech sector.

Preferred Skills:

  • Experience with regulatory compliance tools and software.
  • Knowledge of emerging technologies and their impact on financial services compliance.
  • Strong project management skills.
  • Ability to work independently and as part of a team in a fast-paced environment.

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