Senior Compliance Officer

4 weeks ago

Bengaluru, Karnataka, India Rupeek Full time
Compliance Officer

Job Summary:
Rupeek Fintech is seeking a highly experienced and dynamic Compliance Officer to join our team. The Compliance Officer will play a critical role in ensuring the organization's adherence to regulatory requirements and internal policies, fostering a robust compliance culture, and serving as a liaison with regulatory bodies. The ideal candidate would have extensive experience in the BFSI sector, particularly with NBFCs, and a proven track record in managing compliance functions and interacting directly with regulators.
Job Title:

Compliance Officer
Education:

CA/CS or equivalent professional qualification.
Experience : Minimum of 10+ years of work experience in the BFSI sector, with at least 5+ Years senior level experience in compliance, particularly in Bank/NBFC.
Location:

Bangalore/Mumbai
Key Responsibilities:
Compliance Oversight:

Assist the Board and Senior Management in implementing and overseeing the Compliance Policy, including policies and procedures, Compliance Manuals, internal codes of conduct, and more.
Compliance risk Identification and Mitigation:

Identify compliance risks within the organization, analyze risks associated with existing and new products/processes, and implement appropriate risk mitigants. Participate in 'new product' committees to ensure intensive monitoring of new products for the first six months.
Monitoring and Testing:

Conduct sufficient and representative compliance testing, report results to Senior Management, and circulate instances of compliance failures among staff along with preventive instructions. Examine staff accountability for major compliance failures.
Regulatory Compliance:

Ensure compliance with regulatory and supervisory directions from the RBI and other regulators in both letter and spirit, in a time-bound and sustainable manner. Ensure all Risk Mitigation Plan (RMP) and Monitorable Action Plan (MAP) points are compiled within prescribed timelines.
Regulatory Liaison:

Serve as the primary contact point between the company and regulators/supervisors, participate in structured or regular discussions with the RBI, and communicate compliance to RBI inspection reports through the Compliance Function.
Stakeholder Support:

Act as a reference point for internal stakeholders from operational departments for clarifications/interpretations of various regulatory and statutory guidelines.
Skills & Experience:
Minimum of 10+ years of work experience in the BFSI sector, with at least 5+ Years leadership level experience in compliance, particularly in Bank/NBFC.
CA/CS/PGDM/MBA or equivalent professional qualification.
Proven experience in dealing directly with RBI/NHB as a regulator and managing RBI/NHB audits for at least 5 years.
Demonstrated experience in dealing with Senior Board Members and Independent Directors in previous roles.
Ability to take ownership of and strengthen the compliance culture within the organization.
Understanding of regulatory requirements and internal policies relevant to the NBFC sector.
Ability to interpret and translate regulations into actionable compliance plans.
Experience in developing and implementing a Compliance Policy and related materials.
Knowledge of risk identification and mitigation strategies in a compliance context.
Proven ability to conduct compliance testing and analyze results.
Ability to clearly explain regulations and compliance procedures to internal and external stakeholders as well as to the Board.
Ability to confidently represent the company as a liaison with relevant regulatory bodies .
Strong leadership skills to foster a robust compliance culture within the organization.
Experience working effectively with a Board of Directors, including independent directors.
Ability to analyze complex regulations and identify potential compliance risks.
Skills to assess risks associated with new products and processes.
Attention to detail and accuracy in ensuring adherence to regulations.
Project management skills to oversee and manage compliance initiatives.
Staying up-to-date with regulatory changes within the BFSI sector.

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