AVP/DVP- Compliance - NBFC

Role & Responsibilities

- Effectively implementing the Compliance framework in the company.

- Periodically revising the compliance plan in light of the changes.

- Disseminating regulations to business and support functions and provide ongoing advisory services to ensure that the company operates in accordance with all regulatory requirements.

- Correspondence with the regulators like RBI, SEBI, NHB for renewal of licenses, data submissions, clarifications etc.

- Conducting compliance testing and presenting clear and concise compliance reports to the management.

- Interpreting the applicable Regulatory guidelines /circulars /Directions and ensuring implementation at the organization level.

- Engaging with the Auditors (Internal Audit/ statutory Auditors) in resolving all the Audit related queries.

- Handling regulatory inspections by RBI/NHB.