Assistant Vice President - Compliance Operations

Job Title: Assistant Vice President, Compliance (Operations)

Department: Compliance

Job Overview:

Responsible for managing end-to-end compliance operations, regulatory tracking, policy governance, committee coordination, and oversight of compliance frameworks and systems across the organization.

Key Roles & Responsibilities:

- Daily download of guidelines from the websites of regulators / bodies, circulation to the regulatory team, and maintenance of trackers

- Receipt and tracking of all process notes and policies of various departments received by the department for vetting

- Maintenance of trackers and records for all regulatory / statutory correspondences received by the Company

- Maintenance and monitoring of Key Performance Indicators (KPIs) and Key Risk Indicators (KRIs) for the department

- Periodic review of various policies and relevant process notes owned by the department and implementation thereof

- Ownership of software applications (e.g., DAKSH and other applications), including user management

- Preparation of materials, convening meetings, recording minutes, and tracking Action Taken Reports (ATRs) for the Compliance Committee

- Preparation of notes and ATRs for the Board, Board Committees, and other committees where the Compliance Department participates or is mandated

- Centralized record maintenance for all activities of the Compliance Department

- Obtaining self-certifications from all stakeholders

- Management of the Whistle Blower Policy and framework

- Management of the Anti-Bribery & Anti-Corruption Policy and framework

- Experience in RBI Compliance Ops in Bank / NBFC in mandate