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 : COOJob 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.

Kindly share your resume on - renu.koli@fatakpay.com

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