Compliance Manager
4 days ago
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.
- CA/CA (Inter) / CS / CS (Inter) / L.L.B.
- Candidates from Banks (HO)
- 2 to 5 years of experience
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