Executive Director of Regulatory Compliance

2 days ago

Gurgaon, Haryana, India beBeeRegulatory Full time ₹ 1,50,00,000 - ₹ 2,50,00,000
Job Description

The role involves leading and directing the implementation of key regulatory compliance initiatives and projects. This includes formulating and executing a compliance program, tracking regulatory risks and policy compliance, and providing proactive support to the business. Additionally, you will be responsible for leading regulatory examinations, identifying emerging compliance trends, and sustaining the Compliance Operating Model.

Role Accountability
  • Formulate and execute a compliance program including mechanisms to track regulatory risks and policy compliance.
  • Lead the regulatory examinations/inspections/audits by regulatory bodies.
  • Identify emerging Compliance trends, including related regulatory and policy issues that may impact the business.
  • Sustain the Compliance Operating Model/program for the business by ensuring timely reporting of metrics to internal committees.
  • Monitor functional compliance of all functions within the business & timely closure of actionable by functions.
  • Support business growth by partnering with business on new product introductions, marketing proposals, customer communications, marketing material etc. to help identify & resolve any Compliance related risks.
  • Work with Sales, Risk, Marketing and the other functional teams to ensure their processes & practices are in compliance with local law regulatory requirements, internal company requirements or corporate policies & procedures.
  • Monitor industry compliance activities and other trends (external and internal) through appropriate early warning systems in order to take pre-emptive actions.
  • Support the business leadership in driving organizational understanding & adherence to business specific policies & procedures in consultation with Business Compliance Leader.
  • Support the business in complying with the various laws and regulations applicable to the Business including but not limited to RBI, SEBI, IRDA, TRAI, UIDAI, FIU-IND etc. & NBFC guidelines and regulations/licenses that may be required to conduct business and/or regulatory requirements and any other emerging risk areas related to local laws/policies.
  • Ensure compliance to statutory requirements for locations pan India including S&E/Trade license registrations, renewals, amendments thereof, CLRA registrations and amendments etc.
  • Ensure timely addressal and response on the regulatory/statutory notices received from regulators and statutory authorities.
  • Adapt and lead the roll-out and implementation of policies, regulatory excellence and other compliance initiatives, including identifying key Critical-to-Compliance parameters, determining residual risk and improving controls.
  • Conduct the Annual Compliance Risk Assessment for the business and present the results to relevant Board Committee and senior management forums.
  • Provide periodic certifications to the relevant Board Committees and parent entity on the Compliance status of the business.
  • Coordinate with relevant business owners to define gaps/identify and resolve Compliance-related procedural issues and areas of improvement and ensure remediation actions plans are established, implemented and tracked through to closure.
  • Evaluate and review critical SBI Card policies, processes, procedures & practices from Compliance standpoint.
  • Oversee process documentation and compliance adherence.

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