Assistant ManagerManager- Compliance

2 days ago

mumbai, India HRhelpdesk Full time
About: Theorganization is a new age digital lenderwith a focus on Micro Smalland Medium Enterprises (MSMEs). They are a Systemically ImportantNonDeposit taking Non Banking Financial Company (NBFCNDSI) offeringa wide range of products tailored to the dynamic needs of smallbusinesses.
JobProfile:
KeyResponsibilities:
  • CompliancePolicyImplementation Assist the Board and the Senior Management in overseeing theimplementation of Compliance Policy including policies andprocedures prescriptions in Compliance Manuals internal codes ofconduct etc.
  • Disseminationand implementation of Regulatory guidelines/Actions as perRegulatory InspectionReports Ensure compliance of regulatory / supervisory directions given byRBI in both letter and spirit in a timebound and sustainablemanner.
  • RegulatoryAdvisory TheCompliance Department shall also serve as a reference point for thestaff from operational departments seeking clarifications /interpretation of various regulatory and statutory guidelines.
  • Complianceriskassessment carry out an annual Compliance risk assessment in order to identifyand assess major Compliance risks faced by them and prepare a planto manage the risks.
  • ComplianceTesting Compliance Function shall monitor and test Compliance and theresults of such Compliance testing shall be reported to the SeniorManagement.
  • Facilitatesmooth conduct of regulatory inspections.
  • Tracking Track to ensure that regulatory returns are being submitted withintimeline.
  • Reviewpolicies processes business proposals marketing material customercommunications from a regulatory compliance perspective
  • Ensurepolicy formulation mainly relating to KYCAML FPC Outsourcing.
  • Briefthe management and concerned stakeholders on regulatorydevelopments.
  • Involvementof Compliance Function from initial stages in development of newproducts and processes
  • Toensure closure of all the observations emanated out of theInspection Reports
  • Reportingto the RBI Reporting of various requirements to the RBI SSM team.
  • Reportsuspicious transactions and cash transactions with FIU and ensurecompliances under PMLA.

Requirements Qualification&Experience
  • CA/CA (Inter) / CS / CS(Inter)/ L.L.B.
  • Candidatesfrom Banks (HO)
  • 2to 5 yrsexperience

Benefits Bestin theIndustry.
Compliance risk assessment, Compliance policy implementation,Regulatory Advisory, Compliance testing, Policy formulationrelating to KYC-AML

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