Fintech Compliance Officer

4 weeks ago

Chennai, Tamil Nadu, India Riverforest Connections Private Limited Full time

Job Summary

We are seeking a highly skilled Compliance Manager to join our team at Riverforest Connections Private Limited. The successful candidate will be responsible for maintaining oversight of the developments in the MFD RIANBFC digital lending and account aggregator to proactively manage the potential regulatory risk exposure of affected divisions/departments and ensure compliance with the statutory requirements and regulations prescribed by SEBI / AMFI / RBI / FIU IND and all other applicable legislations.

Key Responsibilities

  • Maintaining oversight of the developments in the MFD RIANBFC digital lending and account aggregator to proactively manage the potential regulatory risk exposure of affected divisions/departments and ensure compliance with the statutory requirements and regulations prescribed by SEBI / AMFI / RBI / FIU IND and all other applicable legislations.
  • 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. Identifying and assessing 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 the 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. Being the face of the Compliance unit in discussion 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.
  • Assisting 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. Obtaining data from various departments & review the same before submission for audits/inspection.
  • Coordination 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
  • Liaison with the SEBI AMFI RBI SRO REs & any other Statutory authorities and support in regulatory Inspection and related activities. Handling regulatory reporting queries and ad hoc requests. Review and Monitoring of Regulator escalated complaints & Ombudsman matters.

Requirements

We are looking for a candidate with excellent verbal and written communication skills and keen attention to detail and accuracy. Hindi language proficiency is preferred. Strong analytical skills with good MS Office knowledge and should be a self-starter and a team player. Comfort in taking initiative with minimal supervision at all levels of the organization. Experience in handling Regulatory/Statutory Compliances related reporting and requirements.

Education and Experience

Post-Graduate in Commerce / Business Admin. / Corporate Secretaryship / Law. Weightage will be given for additional certification in Compliance/Risk Management/Governance/AML. 2-8 years of professionally qualified experience in relevant banking & financial industry / a registered investment distributor / adviser with proven track records.

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