Team Leader - Compliance - NBFC/Bank - CA/CS 1. JOB PURPOSE : Briefly describe the general purpose of the position or its significance from the organization's point of view and how it contributes to the overall mission/objective of the organization 2. PRINCIPAL ACCOUNTABILITIES : List the responsibilities/duties associated with the job and the major activities associated with each responsibility. For each responsibility/duty listed, give the factors on which an individual's performance is judged - 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 3. SKILLS AND KNOWLEDGE : State the minimum acceptable proficiency for this job which best indicates the education and/or experience requirements of this job and not the incumbent 4. RELEVANT & YEARS OF EXPERIENCE : At least 10 - 13 years of work experience in the field of compliance (preferred work experience - NBFCs/ Bank)

Mumbai

Navi Mumbai

Team Leader - Compliance - NBFC/Bank - CA/CS 

Job Description for Team Leader - Compliance - NBFC/Bank - CA/CS  in Kairos Consulting in  Mumbai Navi Mumbai for (10-15) years of experience. Apply Now!