Compliance Manager - NBFC

Key Responsibilities :

- To establish and manage a robust Compliance Program to commensurate with the Business strategies of the Organization through the below activities:

- Review and disseminate all applicable regulatory guidelines, with clear analyses of impacts, actions to be taken and timelines to the relevant units.

- Examine relevant regulatory aspects while approving Products and Processes

- Ensure the policies of the organization are in line with the regulatory requirements

- Provide guidance and recommendation for corrective actions as appropriate

- Recommend solutions to Compliance Related matters

- Frequent interactions with Business to identify Compliance gaps and ensure resolution of the same.

- To identify Compliance Risks on an ongoing basis, carry out periodical Compliance Risk Assessment

- Design Compliance Monitoring Program basis the Compliance Risk Assessment to enable ongoing monitoring and enable the functions to be at satisfactory level

- Manage and coordinate compliance audits and inspections by regulatory authorities, ensuring timely responses and corrective actions.

Regulatory liaising and carry out following activities:

- Vetting of correspondences / compliances before submitting to regulators

- Coordination with Departments and Regulators during regulatory inspections

- Timely submission of data as sought by regulators

- Dissemination of inspection reports, collation of compliance, validation of compliance, reporting to Board / Board Committee

- Provide compliance training and awareness programs to employees and stakeholders.