Senior Manager - Compliance - Financial Institution

Looking for Senior Manager - Compliance for a leading financial institution to be based at Mumbai.

Job Responsibilities:

- Co-ordination during Regulatory Inspections/ scrutiny for Non- Banking Financial Company (NBFC).

- Review and tracking of RBI Guidelines and Circulars/ Notifications issued from time to time. Preparing implication summary and discussion with stakeholders. Tracking compliance of the same.

- Co-ordination during implementation of Compliance monitoring system.

- Conducting periodic compliance reviews and trainings.

- Review of NBFC and HFC regulatory returns; follow up with internal stakeholders, collating data for letters/ returns for providing information/clarifications as required by the regulators.

- Proactively make recommendations wherever required.

- Submission of returns to Financial Intelligence Unit

- Review of loan proposals/ policies in line with RBI guidelines/ NHB guidelines.

- Assisted in preparing Agenda and Minutes for Board, Audit Committee, and other Committees.

- Maintenance of documentation for all returns/ correspondence with regulators in soft and hard copies for future records.

- Acting as a first point of contact for clarifications sought by RBI/ NHB with respect to periodic filings done and other regulatory observations.

- Liaise with the internal IT team for developing systems and processes for providing data to RBI which is consistent and as per regulatory requirements.

- Conducting internal audits in areas of business and departments as mandated. Follow up with the respective departments and obtaining assurance that all audit observations are addressed.

- Assisted in preparing presentations for the Audit Committee, Monthly Review Meetings and Management.

- CS preferred.