Compliance Officer

2 months ago

Ahmadabad Gujarat, India LENDITT INNOVATIONS & TECHNOLOGIES PRIVATE LIMITED Full time

**What this role is all about?**

**1. Regulatory and other authority liaison**:

- Keep business updated with most recent regulatory changes defined by RBI guidelines.
- Managing regulators' visits, audits, and inspections including RBI, Credit Reporting agencies, and other regulatory body.
- Manage implementation of new regulatory initiatives pertaining to compliance and communicate regulatory requirements to the front office.
- Ensure timely escalation to senior management in case of issues, pending regulatory requirements.
- Active involvement in the Risk Based Supervision Process.
- Data uploading process to respective entities on stipulated frequency.

**2. Business and other advisory, communication and escalation**:

- Provide day to day advice and check and challenge the business on all relevant matters pertaining the NBFC including escalating significant matters promptly, providing additional information where requested, analyzing/interpreting legal, regulatory, and internal policy/procedure issues.
- Maintain regular communication/liaison with relevant senior management, business, and others to ensure that they are aware of the business and regulatory risks, including advising them of significant policy matters, regulatory changes, audits and inspections and breaches, if any.
- Work closely with the team to enhance the local compliance culture in the entity through a range of methods, including attendance at local business/other team meetings as appropriate, training, engagement with local risk management, operations and front office staff, identification of and sharing best practices.
- Active involvement in the product approval procedure (from initial discussion stage to roll out of new products) and provide a holistic view on the product and help the business in determining an appropriate control and governance framework.
- Contribute to local, regional, team meetings/calls, helping identify and share best practices
- Implement robust management reporting processes on all regulatory and policy matters internally and to regulatory bodies, to ensure timely submission of regular and ad-hoc MI (including but not restricted to conduct risk MI) and input to region and governance forums.
- Support compliance reviews

**3. Training**
- Ensure that appropriate compliance induction, annual refresher, and other topical training is delivered locally/centrally and completed by all staff within agreed timeframes, to include producing or sourcing (e.g., from the central team) the material as required, and ensuring that completion records are maintained locally/centrally.
- Develop and deliver specific regulatory training locally, according to identified risks.

**What we are looking for**:

- In-depth knowledge and understanding of the regulatory requirements across the functional areas.
- Robust understanding of the various products and services offered by a NBFC with focus on RBI regulatory framework.
- Post graduate qualification (CA/CS/MBA) and relevant experience gained in the compliance departments of an NBFC and/or Banks.
- Ability to work closely with other functions to find both technical and procedural solutions.
- Quick thinker with ability to understand complex transactions and explain compliance issues clearly and concisely.
- Ability to learn quickly.
- Ability to take independent decisions and guide business as well as to handle areas of difference with business and escalate.
- Detail oriented, strong team player with a proven track record

**Salary**: ₹40,000.00 - ₹65,000.00 per month

**Benefits**:

- Flexible schedule
- Paid time off

Schedule:

- Day shift

Supplemental pay types:

- Performance bonus

Work Location: One location

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