Job Role :
The role will be responsible for identifying compliance risks, providing regulatory guidance to business stakeholders, liaising with regulators, and fostering a strong culture of compliance across the organization.
Some high level things you would own but not limited to:
- Managing the compliance risk and providing support to the Senior Management to ensure compliance.
- Responsible for identifying, investigating, and documenting suspicious financial activity across customer accounts.
- Prepare and submit Suspicious Transaction Reports (STRs) in strict compliance with regulatory guidelines.
- Assessing the compliance risks faced by the business and to ensure that the co., appropriately manages those risks.
- Disseminating regulations to business and support functions and providing ongoing advisory. services to ensure that the co.operates in accordance with all regulatory and legal requirements.
- Perform regular and comprehensive compliance testing as per the plan .”
- Disseminating regulations to relevant stakeholders and track for implemenation and compliance
- Correspondence with the regulators RBI, AML regulator etc.
- Provide compliance opinions to the users on applicability of regulatory laws in relation to activities of the co.
- Preparing and presenting clear and concise compliance reports to the management.
- Promoting a compliance culture.
- Providing guidance, advice, and/or training and educational programs, to improve business’ understanding of related laws and regulatory requirements.
- Perform regular and comprehensive compliance reviews.
- Review and regular update of policies and procedures in view of new regulations including compliance manuals.
- Ability and willingness to single-handedly conduct all compliance related functions.
- To obtain approvals / licenses / certifications from regulatory bodies such as RBI’s approval for new product offering wherever needed.
- To ensure legal / compliance diligence for new customers/ vendors on boarding: KYC, Intelligence checks and AML verifications.
What you would possess already:
- 5–10+ years of experience in Compliance, Regulatory Affairs, Risk Management, or a related function, preferably within NBFCs, FinTechs, Banks, or Financial Services organizations.
- Excellent analytical, communication, stakeholder management
- Ability to work independently and manage end-to-end compliance functions.
