Compliance Officer

Role & responsibilities

Key Responsibilities:

Regulatory Monitoring & Implementation

• Keep track of updates in regulatory guidelines applicable to the company.
• Assess the impact of regulatory changes on internal processes and policies.
• Disseminate regulatory changes across senior management and ensure timely implementation.

Compliance Advisory & Governance

• Ensure ongoing adherence to applicable RBI and SEBI guidelines.
• Advise business teams and other stakeholders on compliance matters related to loan proposals.
• Present compliance-related matters to the Board and board-level committees.

Reporting & Communication

• Prepare and submit periodic RBI returns and respond to ad-hoc data requirements.
• Act as the single point of contact for regulatory communication and clarification.
• Liaise with group companies on compliance matters and submit required data.

Testing & Review

• Prepare and execute the Annual Compliance Testing Plan.
• Present material compliance failures to the Audit Committee and Senior Management.
• Conduct compliance reviews across departments and perform test checks of internal controls.

Audit & Inspection Management

• Manage annual RBI inspections, statutory audits, internal audits, and other regulatory reviews.
• Ensure audit readiness and timely resolution of audit observations.

Legal

• Handling legal matters related to the companys operations, contracts, compliance, litigation, and regulatory affairs

Interested candidates can share their cv on seema@thepremierconsultants.com OR call on 8511915231.