Senior Manager - Compliance - Mumbai - Lower Parel

Job description

- | | | --- | | - Maintenance of compliance framework in line with the Regulatory Requirements - Ensuring compliance on an ongoing basis with the various Regulatory Guidelines, Acts, etc - To introduce and sustain good practices relating to the Compliance framework. - Ensuring that the regulatory requirements are complied with while reviewing various policies, programs and various products & business processes - To facilitate preventive measures for mitigating compliance risk resulting in material financial loss or loss to reputation, for the Company. - To introduce a healthy compliance culture within the Company so that governing laws, rules, and regulations are effectively complied with. - Oversee, co-ordinate and monitor the day-to-day compliance activities of the organization - Ensuring timely dissemination of Regulatory guidelines highlighting the aspects of the guidelines together with the action points emanating from the guidelines - Help Senior Management and the Audit Committee of Board (ACB) in recognizing and mitigating the compliance risks in the Company. - Keeping the senior management and concerned stakeholders updated on the new circulars, amendments to existing circulars etc. - Advising and assisting on compliance related aspects during new product launches / changes in existing product lines. - Timely resolution of queries raised by Internal stakeholders on compliance related aspects wherever require - Ensuring compliance with the company’s internal policies and procedures - Testing of compliances as per periodicity mentioned in the Compliance Testing Plan - Conducting and facilitating AML Committee meeting and ensuring necessary reporting requirements. - Liasoning with Inspection team and co-ordinating with various stakeholders across the Company during the Regulatory inspection for smooth conduct of the inspection. - Assisting various team / stakeholders in rectifying deficiency / implementing recommendations of the regulator pointed in inspection. - Attending to Internal Audit queries or requirements and defining IFC and ensuring compliance to their observations thereof. - Development of training modules on various compliance related aspects. and conduct training sessions on compliance related aspects at appropriate forums Qualifications & Experience: - CA/CS/MBA finance - 4-5 years of related experience in the compliance function with an NBFC or a Bank |