Head Compliance/Sr. Vice President role based with a leading Financial Services organization in Mumbai.
Looking for someone with extensive knowledge of RBI guidelines.
KRAs are as follows:-
- Develop adequate process & control for adherence to Local Regulatory guidelines
- Actively interacting with the frontline for any specific query on any product offering from compliance perspective
- Mitigate regulatory risks by building checkpoints in processes within the compliance framework
- Adherence to External and Internal guidelines on KYC & AML before establishing a new relationship.
- Liasoning with key regulators like RBI, AMFI, SEBI, IRDA, FEDAI for periodic reporting, specific clarifications and inquiries
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