Assistant Vice President Compliance

1 week ago

Mumbai, India SMFG India Credit Full time

The incumbent will be responsible for handling regulatory circulars and statutory correspondences from authorities such as RBI, SEBI, and IRDAI, and disseminating actionable points to relevant stakeholders. It includes tracking implementation of regulatory requirements across departments, reviewing and aligning internal controls with current regulations etc. • Receive, review, and interpret regulatory circulars, guidelines, and statutory correspondences issued by relevant authorities (e.g., RBI, SEBI, IRDAI, etc.). • Disseminate actionable points to relevant stakeholders and business functions in a timely and accurate manner. • Track the implementation of regulatory requirements across departments and ensure adherence to prescribed timelines. • Review and vet internal policies, standard operating procedures (SOPs), and process notes to ensure alignment with current regulatory requirements. • Provide regulatory inputs during the drafting, revision, and approval stages of policies and procedures. • Review and approve internal circulars, guidelines, and instructions issued to staff from a compliance perspective. • Vet customer communications, including advertisements, promotional materials, brochures, and digital content, to ensure compliance with applicable advertising standards, fair practice codes, and regulatory guidelines. • Escalate gaps or delays in implementation to senior management and support in resolution. • Prepare periodic compliance status reports for management review. Preferred Candidate profile: Minimum 7–12 years of experience in compliance roles within the BFSI sector (Banking, NBFC, Insurance, or other regulated entities). Proven experience in regulatory interpretation, policy vetting, and review of customer-facing materials.

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