Senior Regulatory Compliance Professional

5 days ago

Chennai, Tamil Nadu, India beBeeCompliance Full time ₹ 9,00,000 - ₹ 12,00,000
Job Summary

As a seasoned Compliance Specialist, you will play a pivotal role in ensuring the organization adheres to regulatory requirements and maintains a strong compliance posture.

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  • Maintaining vigilance over emerging developments in MFD, RIA, NBFC, digital lending, and account aggregation, proactively managing potential regulatory risk exposure and guaranteeing adherence to statutory mandates and regulations imposed by SEBI / AMFI / RBI / FIU-IND and other relevant legislations.
  • Developing, implementing, and sustaining robust regulatory policies, procedures, and processes under the Compliance Program, encompassing review mechanisms and processing, to ensure continuous effectiveness in securing all applicable compliances by the company.
  • Collaborating with cross-functional teams to facilitate seamless implementation of compliance requirements at all levels and processes within the organization. Working closely with internal teams to ensure that relevant legal and regulatory prerequisites are thoroughly understood and reflected in pertinent documentation and internal procedures and processes.
  • Formulating solutions to address specific challenges faced by business units in regulatory compliance matters, including impact assessments. Serving as 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. Reviewing new products and features on the platform and providing sign-off on control testing reports.
  • Responsible for preparing reports related to compliance with internal and external stakeholders/parties and submitting updates to senior management on critical compliance issues for immediate attention and escalation.
  • Assisting with evaluating telecalls, conducting internal compliance reviews/audits, analyzing investment patterns, and preparing Suspicious Transaction Reports (STR), as well as monitoring activities, of departments involved. Obtaining data from various departments and reviewing the same before submission for audits/inspection.
  • Coordination for Politically Exposed Person (PEP) related customer 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.
Required Skills and Qualifications
  • Preferred Industry: NBFC, Banking, and MFIs
Perks and Benefits
  • Be part of a well-funded, high growth insurtech startup
  • Opportunity to create large scale impact
  • Competitive market salary
  • Health insurance
  • Flexible and fun work environment
Additional Information

This is an exciting opportunity to join a dynamic team and make a significant contribution to the organization's compliance efforts.

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