Team Lead - Compliance - NBFC

PRINCIPAL ACCOUNTABILITIES :

- Assisting in monitoring and overseeing day to day compliances to RBI- NBFCs guidelines as applicable to Loan Company/ Asset Finance Company/ Infrastructure Finance Company/ Core Investment Company, SEBI Debt listing agreement, SEBI Prevention of Money Laundering regulations ("PMLA"), SEBI Insider Trading regulation and other applicable regulations/ acts.

- Review of Cash Transaction Report/ Suspicious Transaction Report under PMLA act.

- Liaison with RBI, SEBI, Depositories/ Registrar & Transfer Agents for observing compliance requirements.

- Advising other departments on various regulatory issues

- Assisting in drafting, implementing and monitoring Compliance Manuals/ SOPs.

- Coordinating and advising other departments for audits, regulatory inspection.

- Updating management on recent developments in the industry including regulatory changes.

- Support vetting of legal agreements/ contracts from the compliance stand point.

- Filing with regulatory authorities like RBI, SEBI, Stock Exchanges, etc. which may be event based or periodical in nature.

- Responsibility for setting and meeting KPIs of the department

- Responsible for providing regulatory support to Treasury Department in fund mobilisation programmes with a view to optimize the cost of capital.