Compliance Officer

1 week ago

Sany, India Randstad India Full time

  • RegulatoryCompliance:
    • Stay uptodate with the latest lawsregulations and industry guidelines to ensure the institutionspractices are in line and in compliance with currentrequirements.
    • Interpret and communicateregulatory changes to relevant stakeholders within theorganisation.
    • Develop and maintain compliancepolicies and procedures that align with applicableregulations.
  • Monitoring and Reporting:
    • Conductperiodic compliance reviews and risk assessments to identifypotential gaps and areas for improvement.
    • Analyse and assess the institutions adherence toregulatory requirements and internal policies.
    • Prepare reports on compliance findings and share themwith Senior Management and Regulatory authorities.
  • Training and Education:
    • Provide training to employees oncompliancerelated matters to promote a culture of compliancethroughout the organization.
    • Conduct workshopsor seminars to ensure staff members understand theirresponsibilities and obligations under the law.
  • Compliance Investigations:
    • Investigate and respond to compliancerelatedissues such as customer complaints suspicious activities orpotential breaches.
    • Collaborate with internalaudit and legal teams to address and resolve complianceincidents.
  • RiskManagement:
    • Work with the risk management teamto identify and assess compliance risks and develop strategies tomitigate them.
    • Assist in developingcontingency plans for potential compliancerelatedemergencies.
  • Regulatory Filings and Documentation:
    • Prepare and submit required regulatory filings andreports accurately and within specified deadlines.
    • Maintain comprehensive documentation of complianceactivities reports and other relevant records.
  • External Liaison:
    • Serve as the primary point of contact for regulatoryagencies during compliance examinations and audits.
    • Foster positive relationships with Statutory Auditorsexternal auditors regulators and other industrystakeholders.
  • Ethicsand Code of Conduct:
  • Ensure the institutionsadherence to its ethical code of conduct and promote ethicalbehaviour within the organisation.
  • Bachelors degree in financebusiness law or a related field (advanced degrees or certificationsin compliance are a plus).
  • Indepth knowledgeof banking/ NBFC regulations including but not limited to antimoneylaundering (AML) Bank Secrecy Act (BSA) Know Your Customer (KYC)Consumer Financial Protection Bureau (CFPB) rules etc.
  • Strong analytical and problemsolving skills to assesscompliance risks and find appropriate solutions.
  • Excellent communication and interpersonal abilities tointeract with stakeholders at various levels of theorganisation.
  • Attention to detail and abilityto maintain accurate records and reports.
  • Sound judgement and decisionmaking skills to handlecomplex compliance issues.
  • Experience inregulatory compliance or a related field within the bankingindustry is highly desirable.

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