The remit of your role will cover but not limited to:

- Perform risk assessments to understand risk level, significance and scope

- Keep up to date with, and understand relevant laws and regulations

- Monitor compliance with laws, regulations and internal policies

- Ensure that your findings are recorded and followed up with management so that issues can be rectified

- Educate employees on not only the regulations but also the impact on the organisation if these aren't complied with

- Investigate irregularities and non-compliance issues

- Report back to business functions on current risk and compliance performance

- Highlight or escalate areas of concern

- Contribute to robust and effective compliance controls within the organization

- Review marketing materials, presentations, and websites to ensure compliance with regulatory requirements

- Assist in the gathering of internal information in response to regulatory requests

- Perform various general administrative duties (such as file creation and maintenance of ongoing administrative projects)

- Collaborate with other departments to create a culture of compliance.

- Additionally, you need to perform compliance testing of various products and processes pertaining to, trade, treasury, credit, etc. in line with regulations issued by RBI, SEBI, FEMA, etc.

- Liaison with the regulator for audit and info reqs.

- Providing guidance to business units and follow up on corrective action to be taken for identified compliance breaches/ incidents.

- To assist business units on regulatory developments and requirements.

- Collecting and coordinating internal compliance data from various departments.

- Prepare and provide compliance reports to senior management.

- Manage secretarial matters and manage board-level communications and outreach

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