Avp - Compliance & Secretarial

3 days ago

Mumbai, Maharashtra, India InCred Financial Services Full time
Role & responsibilities Regulatory Compliance (RBI & IRDAI): Ensure ongoing adherence to all applicable RBI NBFC and IRDAI regulatory guidelines.

Review and monitor timely and accurate filing of periodic returns and reports as per RBI regulations.

Handle timely submission of ad hoc regulatory data requests and maintain liaison with RBI officials for compliance-related matters.

Keep the company website and disclosures updated in line with regulatory requirements.

KYC/AML & PMLA Compliance: Ensure compliance with KYC norms and PMLA regulations across customer onboarding and ongoing monitoring.

Support the implementation and oversight of KYC and AML software systems.

Conduct ML/TF (Money Laundering/Terror Financing) risk assessments and support suspicious transaction reviews.

Inspection & Audit Coordination: Lead and manage regulatory inspections, particularly by the RBI, and ensure timely and accurate responses to queries.

Liaise with internal auditors and statutory auditors on compliance matters and provide necessary data support.

Ensure timely closure of audit observations and implementation of recommended actions.

Policy, Process & Product Oversight: Review and update regulatory policies and compliance SOPs in line with legal and business requirements.

Oversee compliance across all business products to ensure alignment with RBI norms.

Review and vet loan documentation, customer-facing templates, and related legal documents from a compliance standpoint.

Ensure branch-level compliance is maintained uniformly across locations.

Compliance Monitoring & Testing: Conduct periodic compliance testing and monitoring to evaluate adherence to internal and regulatory controls.

Continuously assess and enhance internal control mechanisms and streamline compliance processes.

Maintain a robust compliance risk framework, including timely reviews of the business model for emerging regulatory risks.

Preferred candidate profile The ideal candidate should be a qualified CA, MBA, or CS with a strong understanding of RBI and IRDAI regulatory frameworks.

Prior experience in compliance roles within NBFCs or financial institutions is required.

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