epiFi Technologies - Compliance Officer

Compliance Officer

- Provide support primarily on regulatory compliance - covering Banking, Lending/NBFC, Investment Advisory/ Portfolio Management, Stock Broking Regulations (guidelines/ circulars/ notifications) as well as secondary support on Financial Crime Compliance (AML, Sanctions, etc.) matters

- Carry out Compliance Monitoring and Assurance Testing on all business units/ products and infrastructural functions

- Maintain and update the Compliance manual/ registers/ checklists/ handbook and keep abreast of all applicable regulatory guidelines

- Develop, maintain and update Compliance Policies and Procedures, taking into consideration regulatory developments and industry best practices

- Program manage various audits (including regulatory audits), work with the team for remediation efforts and liaise with Auditors, Regulators and External Consultants in that regards