Compliance Manager

3 weeks ago

mumbai, India See & Recruit Full time
Role: NBFC Compliance Manager
Experience:
5-7 Years’ experience in NBFC Compliance
Role and Responsibilities:Drafting and review of all policies and agreements as per applicable compliance frameworkConducting internal compliance review and monitoring activities, including periodic review of the Department.Play key role in ensuring compliance under regulations issued by RBI for non-banking financial companies.Identify compliances applicable to the Company, identify implications and implement compliance requirements.Keep abreast of amendments in laws, regulations, directions, and guidelines applicable to the Company and ensure steps are taken as and when any new implications arise.Sensitize all departments for compliances to be ensured in their respective areas.Assist in creating organization-wide policies and create compliance framework for the Company.Ensure implementation of internal policies and procedures and creating awareness of the same.Drive the compliance monitoring program for the group.Ensuring periodic and even based filings with RBICollaborate with the other functions / departments to ensure timely and accurate submission of returns and information to regulators.Assist in automating reporting and controls.Assist in dealing with queries raised by RBI, SEBI and or any other statutory bodies.Maintaining and updating compliance related MIS(s).Assist all departments in preparing and providing Compliance reports on a regular basis.Obtaining data from various departments, review of the same before submission to RBI during inspection.
Assist in advising management of the legal, regulatory implication of proposed new initiatives of the Company.Liaising with various regulatory and government bodies for approval updates and ad hoc requests/query
Dealing with queries raised by RBI or any other statutory bodies
Highlight alleged violations of RBI laws, rules and regulations applicable to NBFCs and recommend procedures for corrective action.
Liaise and build relations with the Registrar of Companies, Reserve Bank of India Depositories, and other statutory authorities; Periodically provide returns/forms required by them.
To provide advice to management on good governance practices and compliance of Corporate Governance norms as prescribed under various Corporate and Other Business Laws and regulations and guidelines
Preparing and providing Compliance report on a regular basis

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