Company Secretary Fintech Organization

3 months ago

Chennai, India Riverforest Connections Private Limited Full time

Job location :Chennai

Education Requirement: PostGraduate in Commerce / Business Admin. / Corporate Secretaryship /Law. Weightage will be given for additional certification inCompliance/Risk Management/Governance/AML.

Experience : 2 8 years ofprofessionally qualified experience in relevant banking &financial industry / a registered investment distributor / adviserwith proven track records.

Were looking forcandidate with Excellent verbal and written communication skillsand keen attention to detail and accuracy. Hindi languageproficiency is preferred

. Strong analyticalskills with good MS Office knowledge and should be a selfstarterand a team player.

Comfort in taking initiativewith minimal supervision at all levels of theorganization.

Experience in handlingRegulatory/Statutory Compliances related reporting andrequirements

JobResponsibilities

  • Maintaining oversight of the developments in the MFD RIANBFC digital lending and account aggregator to proactively managethe potential regulatory risk exposure of affecteddivisions/departments and ensure compliance with the statutoryrequirements and regulations prescribed by SEBI / AMFI / RBI /FIUIND and all other applicable legislations.
  • Develop implement and maintain regulatorypolicies/procedures/processes under the Compliance Programincluding review mechanisms & processing to ensure itscontinuous effectiveness in ensuring all applicable compliances bythe company. Identifying and assessing Compliance risks in business& operation functions and their mitigation measures includingchecks.
  • Collaborate with crossfunctional teamsto facilitate the implementation of compliance requirements at alllevels/processes of the organization. Work closely with internalteams to ensure the relevant legal and regulatory requirements arewell understood and reflected in the relevant documentation andinternal procedures and processes.
  • Developsolutions to address specific challenges faced by the businessunits in regulatory compliance matters including impactassessments. Being the face of the Compliance unit in discussionwith the Product team to ensure all regulatory gaps are addressedand executed as per regulatory requirements. Review new products/features on the platform and provide signoff on the control testingreports.
  • Responsible for the preparation ofreports related to compliance with internal & externalstakeholders/parties and submitting updates to senior management oncritical compliance issues for immediate attention andescalation.
  • Assisting with evaluatingtelecalls conducting internal compliance reviews/audits analysinginvestment patterns and preparation of Suspicious TransactionReport (STR) and monitoring activities of the departments involved.Obtaining data from various departments & review the samebefore submission for audits/inspection.
  • Coordination for Politically Exposed Person (PEP) relatedcustomers checks/onboarding and monitoring of PEP customers.Specific responsibilities may include trade monitoring; review ofmarketing materials and electronic correspondence; employeetraining; responding to thirdparty due diligence requests;oversight of service providers; GIPS reporting; risk assessmentpreparation for regulatory examinations; etc
  • Liaison with the SEBI AMFI RBI SRO REs & any other Statutoryauthorities and support in regulatory Inspection and relatedactivities. Handling regulatory reporting queries and ad hocrequests. Review and Monitoring of Regulator escalated complaints& Ombudsman matters.

CompanySecetary

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