Compliance Manager

Role & responsibilities

• Maintaining oversight of the developments in the MFD, RIA, NBFC, digital lending, and

account aggregator, to proactively manage the potential regulatory risk exposure of

affected divisions/departments and ensure compliance with the statutory requirements

and regulations prescribed by SEBI / AMFI / RBI / FIU-IND and all other applicable

legislations.

• Develop, implement, and maintain regulatory policies/procedures/processes under the

Compliance Program, including review mechanisms & processing, to ensure its continuous

effectiveness in ensuring all applicable compliances by the company. Identifying and

assessing Compliance risks in business & operation functions, and their mitigation measures

including checks.

• Collaborate with cross-functional teams to facilitate the implementation of compliance

requirements at all levels/processes of the organization. Work closely with internal teams

to ensure the relevant legal and regulatory requirements are well understood and reflected

in the relevant documentation and internal procedures and processes.

• Develop solutions to address specific challenges faced by the business units in regulatory

compliance matters including impact assessments. Being 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. Review new products/ features on the platform

and provide sign-off on the control testing reports.

• Responsible for the preparation of reports related to compliance with internal & external

stakeholders/parties and submitting updates to senior management on critical compliance

issues for immediate attention and escalation.

• Assisting 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. Obtaining data from various

departments & review the same before submission for audits/inspection.

• Coordination 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

Preferred candidate profile

Preferred Industry: NBFC, Banking and MFIs

Perks and benefits

• Be a part of a well-funded, high growth insurtech startup.
• Opportunity to create large scale impact.
• Competitive market salary.
• Health insurance
• Flexible and fun work environment.