Legal and Compliance Officer Vaishali Securities Ltd

6.0 - 10.0 years

0 Lacs

ahmedabad, gujarat

On-site

As a Compliance Officer at the NBFC, your role involves ensuring regulatory compliance and maintaining effective communication with regulators. You will be responsible for various key activities: - **Regulatory Liaison**: - Act as the Single Point of Contact (SPOC) between the NBFC and regulators such as RBI, CICs, and Ombudsman. - Handle all official communications and queries from the RBI regarding inspections, audits, and compliance matters. - **Grievance Redressal**: - Receive, record, and address customer complaints in line with RBI Fair Practices Code. - Ensure timely resolution of complaints within regulatory timelines. - Prepare periodic reports on grievance status for submission to regulators and management. - **Compliance Monitoring**: - Ensure company policies align with RBI guidelines for NBFCs like KYC/AML, CIC reporting, and digital lending norms. - Serve as the official liaison with Credit Information Companies (CICs) for credit data reporting. - Oversee accurate and timely submission of regulatory returns and statutory reports. - **Audit & Inspections**: - Facilitate internal and external audits and RBI inspections. - Provide necessary documentation, explanations, and data to auditors and regulators. - **Policy Development & Training**: - Assist in drafting and updating compliance-related policies. - Train staff on grievance handling and compliance protocols. - **Reporting**: - Prepare reports for the Board/Audit Committee on compliance status, customer complaints, and regulatory interactions. - Maintain comprehensive documentation of all communications with RBI and other regulators. **Qualifications**: - **Education**: - Bachelors Degree in Law, Finance, Business Administration, or related field. - Preferred: Masters Degree (MBA / LLM / Chartered Accountant / Company Secretary). - **Experience**: - Minimum 5-7 years of experience in compliance, legal, audit, or regulatory affairs. - Prior experience in direct liaison with regulators is desirable. - **Skills & Knowledge**: - Strong knowledge of RBI NBFC Master Directions, Fair Practices Code, KYC/AML regulations, and Digital Lending Guidelines. - Excellent communication skills, problem-solving abilities, and coordination skills. **Other Requirements**: - High integrity, attention to detail, and confidentiality maintenance. - Availability as an official public contact point. - Willingness to attend meetings with regulators as needed. In addition to the above responsibilities and qualifications, the company offers commuter assistance, health insurance, internet reimbursement, leave encashment, paid sick time, and work from home option. Kindly provide your current CTC, expected CTC, and availability to join immediately along with the number of days required. Please note that this is a full-time position requiring in-person work at the specified location.,

Posted 3 days ago

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Data Metrics Analyst Citi

7.0 - 11.0 years

0 Lacs

maharashtra

On-site

The KYC Operations Intmd Analyst position at Citi is an intermediate-level role focused on Anti-Money Laundering (AML) monitoring, governance, oversight, and regulatory reporting. Working closely with the Compliance and Control team, the primary goal is to establish and maintain an internal KYC (Know Your Client) program within the organization. Key Responsibilities: - Analyzing and manipulating large data sets, managing complex data sets for business review and workload management. - Utilizing various Citi platforms to address ad hoc queries and escalations. - Providing ad-hoc analyses in Excel/Access for management and internal groups, handling impromptu queries for feedback or analysis to support global processes. - Developing Excel/PPT based reports and scorecards. - Collaborating with the technology team to ensure the implementation of business requirements for CitiKYC. - Performing data auditing and validation. - Preparing management reports and/or automating the production of reports using MS Access and MS Excel. - Resolving data issues or discrepancies. - Liaising with internal departments to retrieve data. Knowledge/Experience: Essential: 7/8 years of experience in business data analysis, database management, and MIS reporting. Skills: Essential: - Advanced knowledge of MS Access and Excel. - Familiarity with Cognos and SQL. Desirable: - Understanding of KYC/AML regulations and global trends (preferred). Qualifications: Essential: Bachelor's or Master's degree in Computer Sciences, Mathematics, Information Systems, or Finance. Competencies: - Ability to multitask and prioritize effectively. - Capacity to work well under pressure and within tight timeframes. - Proactive, flexible, good organizational skills, and a team player. - Ability to thrive in a dynamic environment. If you are a person with a disability requiring reasonable accommodation to use our search tools or apply for a career opportunity, please review Accessibility at Citi. Additionally, you can refer to Citi's EEO Policy Statement and the Know Your Rights poster for further information.,

Posted 2 weeks ago

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