Compliance Manager

3 weeks ago

Chennai, Tamil Nadu, India Kaleidofin Full time

Job Summary

We are seeking a highly skilled Compliance Manager to join our team at Kaleidofin. The successful candidate will be responsible for maintaining oversight of regulatory developments and ensuring compliance with statutory requirements and regulations.

Key Responsibilities

  • Develop and implement regulatory policies and procedures to ensure continuous effectiveness in ensuring all applicable compliances by the company.
  • Identify and assess Compliance risks in business and operation functions, and their mitigation measures including checks.
  • Collaborate with cross-functional teams to facilitate the implementation of compliance requirements at all levels of the organization.
  • Work closely with internal teams to ensure relevant legal and regulatory requirements are well understood and reflected in relevant documentation and internal procedures and processes.
  • Develop solutions to address specific challenges faced by business units in regulatory compliance matters including impact assessments.
  • Be 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.
  • Responsible for the preparation of 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.
  • 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 and 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 and any other Statutory authorities and support in regulatory Inspection and related activities. Handling 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.

Requirements

  • Post Graduate in Commerce / Business Admin. / Corporate Secretaryship / Law. Weightage will be given for additional certification in Compliance/Risk Management/Governance/AML.
  • 4 - 8 years of professionally qualified experience in relevant banking and financial industry / a registered investment distributor / adviser, with proven track records.
  • 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 Compliance's related reporting and requirements.

Job Location

Chennai

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