Assistant Vice President - Compliance - Housing Finance

Business Vertical : Compliance

Department: Compliance

Designation: Assistant Vice President Compliance

Line of Business : Compliance

Proposed Immediate Superior (Designation): Reporting to Chief Financial Officer and Compliance Officer

Key Objective of the Job:

Adherence with Compliance Information requirements:

- Handling compliance activities as per RBI/NHB Directions, Regulations and Circulars

- Filing of Returns with NHB, RBI and other regulators.

- Handling compliance activities as per NHB's Refinance Booklet. Making application, Drawal of funds and interaction with NHB officials.

- Acting as Nodal Officer Handling compliance activities as per PMAY activities

- Amendment in the KYC policy as amended by RBI and Resolving the KYC issues / queries asked by field teams / operations

- Maintain the list of DP and follow up for obtaining annual or other declaration / approval.

- Compliance with AML Guidelines, CTR/STR and Wil-full defaulter Guidelines

- Compliance with KYC guidelines

- Compliance with insider trading compliances

- Compliance with ROC filings | NCD certificate filing with Trustees

- Company law compliances

- Issues guidance with regard to the new circulars from time to time.

- Process Compliance and Handling Statutory Audit | IAD Audit | NHB Compliance's:

- Handling internal auditor and statutory auditor query with regard to the Compliance

- Liaison with Operations | Finance team for obtaining information

- Maintain a Compliance register for all compliances

- Conduct training for Compliances to the Process owners

- Implement Automated Data interface project

- Automation of NHB reporting

- Compliance Process Council reviews conducted from time to time

Major Deliverables:

- Report Compliance to the Board of Directors

- NHB Inspection

- NHB refinance

Educational Qualification:

- Company Secretary or LLB or both

- CA

Desired Experience:

- Sound knowledge of RBI & NHB regulations.

- Sound knowledge of Company law

- Worked with HFC compliance for at least three years to five years or worked with NBFC for at least three year.

Other desired attributes :

- Committed and sincere in handling compliances.

- Desire to learn new compliance procedures.

- Good team player