AVP/VP - Regulatory Compliance - Financial Services (15-25 yrs)
About the client:
- Company Name: NBFC Client
- Industries: Banking / Financial Services / Broking, Insurance
- Company Type: Forbes Global 2000
- Funding Stage: Other
- Headquarter Location: Mumbai
- Nature of Offering: Other
- Founding Year: 2010
- No of Employees: 201-500
Job Description for Role of Compliance Officer - Assistance Vice President / Vice President 1 Level
(1) Drafting of Compliance related Policies and advise Business and Support Functions in drafting policies related to their functions.
(2) Assist Senior Management in overseeing the implementation of Compliance Policy
(3) Effective identification of risk (i) of violation of laws and regulations; (ii) in existing / new products and processes, as well as providing advice on risk reduction / mitigation measures
(4) Develop and facilitate the implementation of internal controls that will provide the organisation with protection from Compliance Risk
(5) Monitoring, testing and reporting on the effectiveness of control measures.
(6) Providing the business with advice about acceptable behaviour and practices in relation to the interpretation of external laws and internal rules
(7) Keep abreast of regulatory and industry trends and advise relevant stakeholders
(8) Ensure compliance of regulatory / supervisory directions given by RBI or other regulators in time bound and sustainable manner and communicating to the RBI on status of compliance of observations made during the RBI inspection.
(9) Management of Compliance communications, training strategies and initiatives including creating a training material on compliance related policies and ensure providing of training to all employees.
(10) Preparing, monitoring, updating and ensuring compliance of Compliance Policies of shareholder (Global) .
(11) Manage consolidated internal and external reporting on the status of Compliance Risks and Compliance frameworks
(12) Manage the day-to-day operations of the Compliance Department.
(13) Develop and execute an Annual Compliance Plan based on the Compliance Risk Assessment.
(14) Interact with regulators as and when needed.
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