Compliance Manager - NBFC

This is regarding the job opportunity with a leading NBFC for the role of Compliance Manager

Experience: Overall 8 years of work experience with 3+ years into NBFC

Qualification: CA/CS

Location: Ahmedabad

Job role:

- Will serve as the primary point of contact for the NBFC with regulators and supervisors and will unavoidably take part in organised or other routine talks with RBI. Moreover, compliance with RBI inspection reports must be reported to RBI via the Compliance Function office.

- Pay attention to following instructions from other regulators when an entity's activities go outside RBI regulation or oversight. Also, any concerns expressed to the NBFC by other regulators regarding any matter, as well as any actions taken by any other authorities or law enforcement agencies, must be brought to RBI's attention.

- The Compliance Function shall execute adequate and representative Compliance testing, monitor Compliance, and test Compliance; the findings of such Compliance testing shall be submitted to Senior Management. It must periodically share with the staff examples of compliance violations and the necessary preventative advice. Staff accountability will be looked at for serious Compliance violations.