Research Associate at Bay Steeds Associates
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Director - Compliance - FinTech (10-15 yrs)
FinTech Company | Work From Office | Location - Ahmedabad
Note: We are open to consider Anyone who can relocate to Ahmedabad.
- Managing the compliance risk and providing support to the Senior Management to ensure compliance.
- Assessing the compliance risks faced by the business and to ensure that the co. appropriately manages those risks.
- Disseminating regulations to business and support function and provide ongoing advisory services to ensure that the co., operates in accordance with all regulatory and legal requirements.
- Overseeing and monitoring the implementation of the compliance program
- Correspondence with the regulators RBI, AML regulator etc.
- Provide compliance opinions to the users on applicability of regulatory laws in relation to activities of the co.
- Preparing and presenting clear and concise compliance reports to the management
- Promoting a compliance culture.
- Providing guidance, advice, and/or training and educational programs, to improve business understanding of related laws and regulatory requirements.
- Perform regular and comprehensive compliance reviews
- Review and regular update of policies and procedures in view of new regulations including compliance manuals
- Ability and willingness to single-handedly conduct all compliance related functions.
- To obtain approvals / licenses / certifications from regulatory bodies such as RBI approval for new product offering wherever needed.
- To ensure legal / compliance diligence for new customers/ vendors on boarding: KYC, Intelligence checks and AML verifications.
Key Requirements :
- 10- 15+ years of related experience out of which a minimum of 7 years in similar position/ responsibility in a Bank or Financial Institution.
- Education: MBA Finance/CA
- Strong analytical and quantitative background
- Devised plans & contributed to the development of overall compliance
- Digital Lending Experience is preferred - exposure to customer application journey /rule engines/scorecards