Compliance Risk Manager

3 weeks ago

Chennai, Tamil Nadu, India Kaleidofin Full time

Become a key member of Kaleidofin's Compliance team

Focusing on Regulatory Affairs

Maintain oversight of MFD, RIA, NBFC, digital lending, and account aggregator developments to proactively manage potential regulatory risk exposure of affected divisions/departments and ensure compliance with statutory requirements and regulations prescribed by SEBI / AMFI / RBI / FIU-IND and all applicable legislations.

Key Responsibilities:

  • Develop, implement, and maintain regulatory policies/procedures/processes under the Compliance Program, including review mechanisms & processing, to ensure its continuous effectiveness in ensuring all applicable compliances by the company.
  • Identify and assess Compliance risks in business & operation functions, and their mitigation measures including checks.
  • Collaborate with cross-functional teams to facilitate the implementation of compliance requirements at all levels/processes of the organization.
  • Work closely with internal teams to ensure relevant legal and regulatory requirements are well understood and reflected in the relevant documentation and internal procedures and processes.
  • Develop solutions to address specific challenges faced by the business units in regulatory compliance matters including impact assessments.
  • Be the face of the Compliance unit in discussions with the Product team to ensure all regulatory gaps are addressed and executed as per regulatory requirements. Review new products/ features on the platform and provide sign-off on the control testing reports.
  • Responsible for the preparation of reports related to compliance with internal & external stakeholders/parties and submitting updates to senior management on critical compliance issues for immediate attention and escalation.
  • Assist with evaluating telecalls, conducting internal compliance reviews/audits, analysing investment patterns and preparation of Suspicious Transaction Report (STR), and monitoring activities, of the departments involved.
  • Obtain data from various departments & review the same before submission for audits/inspection.
  • Coordinate for Politically Exposed Person (PEP) related customers checks/onboarding and monitoring of PEP customers.
  • Specific responsibilities may include trade monitoring; review of marketing materials and electronic correspondence; employee training; responding to third-party due diligence requests; oversight of service providers; GIPS reporting; risk assessment, preparation for regulatory examinations; etc
  • Liaise with the SEBI, AMFI, RBI, SRO, RE's & any other Statutory authorities and support in regulatory Inspection and related activities. Handle regulatory reporting, queries, and adhoc requests. Review and Monitoring of Regulator escalated complaints & Ombudsman matters.
  • The candidate will be suitably well versed with the appropriate information security responsibilities for the role and is responsible for adhering to them.

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