Regulatory Compliance Specialist
15 hours ago
We seek a highly skilled and proactive Compliance Officer to lead regulatory compliance initiatives across our organization. This role involves monitoring regulatory changes, advising stakeholders, managing audits and inspections, and ensuring adherence to RBI guidelines and SEBI guidelines.
Key Responsibilities:
- Regulatory Monitoring & Implementation:
- Keep track of updates in regulatory guidelines applicable to the company.
- Assess the impact of regulatory changes on internal processes and policies.
- Disseminate regulatory changes across senior management and ensure timely implementation.
- Compliance Advisory & Governance:
- Ensure ongoing adherence to applicable RBI and SEBI guidelines.
- Advise business teams and other stakeholders on compliance matters related to loan proposals.
- Present compliance-related matters to the Board and board-level committees.
- Reporting & Communication:
- Prepare and submit periodic RBI returns and respond to ad-hoc data requirements.
- Act as the single point of contact for regulatory communication and clarification.
- Liaise with group companies on compliance matters and submit required data.
- Testing & Review:
- Prepare and execute the Annual Compliance Testing Plan.
- Present material compliance failures to the Audit Committee and Senior Management.
- Conduct compliance reviews across departments and perform test checks of internal controls.
- Audit & Inspection Management:
- Manage annual RBI inspections, statutory audits, internal audits, and other regulatory reviews.
- Ensure audit readiness and timely resolution of audit observations.
- Legal:
- Handling legal matters related to the company's operations, contracts, compliance, litigation, and regulatory affairs
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