Compliance Manager

3 weeks ago


Mumbai, Maharashtra, India HRhelpdesk Full time
About HRhelpdesk

The organization is a cutting-edge digital lender with a focus on Micro Small and Medium Enterprises (MSMEs). As a Systemically Important Non-Deposit taking Non-Banking Financial Company (NBFC-NDSI), we offer a wide range of products tailored to the dynamic needs of small businesses.

Job ProfileKey Responsibilities
  • Compliance Policy Implementation Assist the Board and Senior Management in overseeing the implementation of Compliance Policy, including policies and procedures prescriptions in Compliance Manuals, internal codes of conduct, etc.
  • Dissemination and Implementation of Regulatory Guidelines/Actions Ensure compliance of regulatory/supervisory directions given by RBI in both letter and spirit in a time-bound and sustainable manner.
  • Regulatory Advisory The Compliance Department shall also serve as a reference point for staff from operational departments seeking clarifications/interpretation of various regulatory and statutory guidelines.
  • Compliance Risk Assessment Carry out an annual Compliance risk assessment to identify and assess major Compliance risks faced by the organization and prepare a plan to manage the risks.
  • Compliance Testing Compliance Function shall monitor and test Compliance, and the results of such Compliance testing shall be reported to the Senior Management.
  • Facilitate smooth conduct of regulatory inspections.
  • Tracking Track to ensure that regulatory returns are being submitted within the timeline.
  • Review policies, processes, business proposals, marketing material, customer communications from a regulatory compliance perspective.
  • Ensure policy formulation mainly relating to KYC-AML, FPC, and Outsourcing.
  • Brief the management and concerned stakeholders on regulatory developments.
  • Involvement of Compliance Function from initial stages in development of new products and processes.
  • To ensure closure of all the observations emanated out of the Inspection Reports.
  • Report suspicious transactions and cash transactions with FIU and ensure compliances under PMLA.
RequirementsQualification & Experience
  • CA/CA (Inter) / CS / CS (Inter) / L.L.B.
  • Candidates from Banks (HO)
  • 2 to 5 years of experience
BenefitsBest in the Industry. Compliance risk assessment, Compliance policy implementation, Regulatory Advisory, Compliance testing, Policy formulation relating to KYC-AML
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