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Deputy Unit Manager - Compliance

Deputy Unit Manager - Compliance

Bajaj Finance

2 - 3 years

4 - 8 Lacs

pune

Posted:1 week ago| Platform:

Apply

Skills Required

finance compliance verification business

Work Mode

Work from Office

Job Type

Full Time

Job Description

Job Purpose
Perform LHS-RHS activity with respective stakeholders including COEs, Business Compliance and horizontal support functions. Closely work with CDI and CMT teams within compliance. Validate and confirm closure of LHS-RHS response in compliance system.Duties and Responsibilities
Roles & Responsibilities for LHS RHS Unit are as under:

Obtaining regular updates for new Regulatory Guidelines - Circular / Master Direction from related regulators (RBI, CKYCR, NPCI etc.)

Creation of checkpoints for verification of the regulatory requirement mentioned in guidelines for product / vertical as per schedule

Discussing & confirming checkpoints and FPR names with concerned team members COE Teams / Business Teams / Business Compliance Teams

Uploading checkpoints in Compliance Tool along with names provided by COE Teams / Business Teams

Tracking for responses against checkpoints uploaded in tool

Validating and closing actionable provided by FPRs

Obtaining Action Plan for checkpoint mentioned as Non Complied by COE Teams / Business Teams

Maintaining ongoing tracking for action responses, closures, action updates

Providing updates during monthly meeting scheduled with Business / Business Compliance Teams / SMTs

Connecting with and getting regular updated from respective Business teams for assigned Products / Circulars

Preparation of monthly Decks, Trackers, Assisting Team for other ad hoc regulatory requirement

Required Qualifications and Experience
Work Experience & Skills

2 years of relevant work experience. However, exceptional candidates without prior experience may also be considered.

Strong ability to interpret and apply regulatory guidelines.

The role requires extensive reading and comprehension of regulatory material.

Must be capable of discussing and clearly explaining guideline requirements to process owners
Educational Qualifications

Chartered Accountant / Company Secretary / Law Graduate / MBA (Finance)

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Deputy Unit Manager - Compliance