Rupeek - Senior Officer/Manager - Compliance (5-7 yrs)
- Assessing the compliance / regulatory risks faced by the business and to ensure that the Company appropriately manages those risks.
- Disseminating regulations to business and support functions and providing ongoing advisory services to ensure that the Company operates in accordance with all regulatory and legal requirements.
- Review and regular update of policies and procedures in view of new regulations including compliance manuals.
- Managing all Correspondence with the RBI by acting as a principal interface between the Company and RBI (eg. To manage the relationship with the regulator, coordinate when any regulatory approvals are needed, Coordinating efforts related to regulatory audits and reviews)
- Provide compliance opinions to the internal stakeholders on applicability of regulatory laws / guidelines in relation to activities of the Company (eg : customer communication in app, website or documents)
- Overseeing and monitoring the implementation of the compliance framework.
- Independently investigating and acting on matters related to compliance.
- Preparing and presenting clear and concise compliance reports to the management and timely escalations to the Leadership team on incidents of breaches and suggest corrective actions.
- Effective verbal and written communication
- Effective interpersonal skills to effectively communicate and coordinate complex issues and projects with diverse levels of management and employees (Stakeholder management)
- Conversant with RBI regulations applicable to Banks and NBFCs (apart from general knowledge of business processes followed by NBFC on-ground in relation to loan disbursements and repayments)
- CA / LLB with 5-7 years experience in the Compliance team of any NBFC / Fintech. (initial banking experience is not a must have)
- Should have experience of directly interacting with RBI
- Ability and willingness to single-handedly conduct all compliance related functions.