Compliance Manager

About Client:

One of the Leading NBFC Organization

Job Description

• Monitoring RBI and other Statutory guidelines on an ongoing basis, intimating process owners on the requirements, clarifying dept/process owner queries, implementation of directions in coordination with process owners, ensuring compliance within timelines and periodic reporting of the status.
• Compliance Risk Management: Compliance Risk Assessment, defining compliance controls and mitigation measures.
• Support the reporting manager in carrying Compliance Risk Assessment exercise (Impact Assessment, Likelihood Assessment, Inherent Risk Assessment, Control mapping and Residual Risk Assessment) for all regulatory and statutory directions across all product verticals and process owners.
• Support the reporting manager in undertaking advisory function across business verticals on the following and advise/guide the team on the compliance aspects.

a. new product approvals,

b. new partnership arrangements,

c. policy rollout or amendment to policies

d. Customer complaints

• Support the reporting manager in mapping compliance obligations in the Compliance Monitoring tool to process owners on an ongoing basis.
• Driving compliance awareness across the organization periodically (KYC/AML, FPC, Fraud Reporting, Corporate Governance etc)
• Support the reporting manager in handling RBI inspection and finalization of responses, day to day RBI Correspondences, returns filing and circulation of Compliance MIS.

Experience: 3+ years

Qualification: CA/ ICWA