Compliance Head

3 days ago

Mumbai, Maharashtra, India FatakPay Full time ₹ 8,00,000 - ₹ 12,00,000 per year

Job Description: Audit and Compliance Manager - Fintech Industry

Position: Audit and Compliance Manager

Location: Andheri – Mumbai

Reports to : COO

Kindly share your resume on -

Job Overview:

The Audit and Compliance Manager will be responsible for overseeing and managing the internal audit and compliance functions within the organization. This role requires a thorough understanding of the regulatory environment, strong analytical skills, and the ability to develop and implement effective audit and compliance programs.

Key Responsibilities:

Audit Management:

Develop and execute a comprehensive audit plan to evaluate the effectiveness of internal controls, financial reporting, and operational processes.

Conduct regular internal audits to assess the compliance of company operations with established policies, procedures, and regulations.

Identify areas of risk and provide recommendations for improving internal controls and processes.

Prepare detailed audit reports, highlighting key findings and recommendations for management.

Compliance Oversight:

Ensure the company complies with all relevant local, state, and federal regulations, as well as industry standards.

Develop and maintain compliance policies and procedures, ensuring they are up-to-date and effectively communicated across the organization.

Monitor changes in regulatory requirements and assess their impact on the company's operations.

Conduct compliance training programs for employees to enhance awareness and understanding of regulatory requirements and ethical standards.

Risk Management:

Identify potential areas of compliance vulnerability and risk, and develop/implement corrective action plans.

Collaborate with various departments to develop and implement risk mitigation strategies.

Maintain a risk management framework to ensure risks are identified, assessed, and managed effectively.

Reporting and Documentation:

Prepare and present audit and compliance reports to senior management and the board of directors.

Maintain comprehensive documentation of all audit and compliance activities, findings, and recommendations.

Ensure timely and accurate reporting of compliance issues to regulatory authorities, as required.

Team Leadership:

Lead and manage the audit and compliance team, providing guidance, training, and support.

Foster a culture of integrity, accountability, and continuous improvement within the team.

Conduct performance evaluations and provide constructive feedback to team members.

Qualifications:

Master's degree in Finance, Accounting, Business Administration, or a related field.

Minimum of 6-10 years of experience in audit and compliance within the financial services or fintech industry.

Strong knowledge of regulatory requirements and industry standards relevant to the fintech sector.

Preferred Skills:

Experience with regulatory compliance tools and software.

Knowledge of emerging technologies and their impact on financial services compliance.

Strong project management skills.

Ability to work independently and as part of a team in a fast-paced environment

Kindly share your resume on -

  • Compliance Head

    1 week ago

    Mumbai, Maharashtra, India Arthan Full time ₹ 12,00,000 - ₹ 36,00,000 per year

    Position: Compliance HeadLocation: Mumbai | Full-timeReports to: CEOThe Head of Compliance will ensure that the organization operates in full accordance with legal and regulatory requirements. This role involves leading the compliance function, designing and implementing policies and procedures, and ensuring adherence to applicable laws, ethical standards,...

  • Compliance Head

    5 days ago

    Mumbai, Maharashtra, India Premier Consultants Full time ₹ 15,00,000 - ₹ 25,00,000 per year

    Job Opportunity with a Leading NBFCDesignation: Compliance HeadLocation: MumbaiExperience: 10-15 YearsRole & Responsibilities:Lead risk-based compliance testing plans and thematic product reviews.Prepare compliance reports and ensure closure of identified gaps.Act as a liaison with RBI, SEBI, NHB, FIU and other regulators.Manage Risk Based Supervision (RBS)...

  • Compliance Head

    3 days ago

    Mumbai, Maharashtra, India Connexio Full time ₹ 12,00,000 - ₹ 36,00,000 per year

    Job DescriptionResponsibilities:Oversee day-to-day compliance including updating and enforcing the Firm's Compliance Manual and Code of Ethics, regulatory filings, handling issues and questions related to trading activities/investment deals and assisting with AML and background checks related to counterparties on investment dealsDeliver compliance training...

  • Head of Investment Compliance

    1 week ago

    Mumbai, Maharashtra, India Franklin Templeton Full time ₹ 15,00,000 - ₹ 30,00,000 per year

    At Franklin Templeton, we're driving our industry forward by developing new and innovative ways to help our clients achieve their investment goals. Our dynamic and diversified firm spans asset management, wealth management, and fintech, offering many ways to help investors make progress toward their goals. Our talented teams working around the globe bring...

  • Chief Compliance Officer

    1 day ago

    Mumbai, Maharashtra, India E Financial Holding Co., Ltd Full time ₹ 15,00,000 - ₹ 60,00,000 per year

    Compliance Management Framework & GovernanceDevelop, implement, and maintain a comprehensive compliance program aligned with RBI's guidelines, Basel standard, and applicable regulations.Establish and regularly update compliance P&P, standard and controls tailored to the branch's risk profile and business model.Report to management and HO on compliance risks,...

  • Assistant Compliance Manager, Compliance

    1 week ago

    Mumbai, Maharashtra, India CLSA Full time ₹ 9,00,000 - ₹ 12,00,000 per year

    Position DescriptionDesignated Company Secretary and hence a KMP. Also, an Associate Compliance Manager reporting into the head of Compliance & legal for CLSA - IndiaKey Areas of ResponsibilitiesHandling all Staff dealing Compliances & all necessary Certifications at entity level & employee levelResponsible for all corporate secretarial mattersImparting...

  • Business Head

    1 week ago

    Mumbai, Maharashtra, India Skillventory Full time ₹ 20,00,000 - ₹ 25,00,000 per year

    Role & responsibilities :Business Head/Credit Head - Supply Chain Finance Location: Mumbai Function: Business / Supply Chain Finance We are looking for a strategic and growth-focused leader to drive our Supply Chain Finance verticalowning the P&L, forging ecosystem partnerships, spearheading product innovation, and building a robust, tech-enabled financing...

  • Zonal Head

    1 week ago

    Mumbai, Maharashtra, India Staffik servico Full time ₹ 15,00,000 - ₹ 25,00,000 per year

    The Zonal Head - Agency Channel is a senior leadership role responsible for overseeing and driving the performance of the agency distribution channel across a designated zone (e.g., North, East, West, South). Reporting to the Agency Operations Head, this position focuses on achieving sales targets, expanding the agency network, and ensuring operational...

  • Head of Legal

    2 weeks ago

    Mumbai, Maharashtra, India Aarvi Encon Full time ₹ 20,00,000 - ₹ 25,00,000 per year

    Greetings from Aarvi Encon Limited.We have an opening for Head of Legal for Mumbai Location.Job Description:Position- Head of Legal Department, Reporting to CEO / Managing Director.Land Acquisition & Title Due Diligence.Regulatory Compliance,3. Contract & Agreement ManagementLitigation & Dispute ManagementRisk Mitigation, Ensure compliance with RERA, local...

  • Compliance Manager

    1 week ago

    Mumbai, Maharashtra, India A.P. Moller - Maersk Full time ₹ 12,00,000 - ₹ 36,00,000 per year

    Purpose:Manages the Compliance Program for Anti-Corruption and Foreign Trade Controls at the Area level in accordance with the Maersk Compliance Program, local/International laws and regulations.PRINCIPAL ACCOUNTABILITIES:Support our Area organizations (Senior Management Team and other levels of the organization) with compliance advice and solutions with an...