AVP - Regulatory Compliance - NBFC

1. Understand the Reg. guidelines / directions, its applicability at Company & vertical level

2. Extract clear action items and disseminate to the respective / relevant vertical

3. Track the action items and ensure its implementation to the satisfaction of Compliance Dept.

4. To review all the Policies of the Company and ensure that they are in line with regulatory prescriptions

5. To review all the internal guidelines viz. internal circulars, Process notes, outward communication viz. Advertisements, SMS messages, e-mails etc. to ensure that they are in line with the Board approved Policy and not misleading (Ads, SMS etc.)

6. To ensure all regulatory/statutory correspondences emanating from regulators, Statutory bodies, Govt. Departments and are responded adequately, appropriately and within stipulated timeline

7. To carry out compliance of new products / processes over a period of 6 months from launch of those.

8. To conduct Compliance risk Assessment

9. To respond to the queries / doubts raised by various verticals, from the compliance / regulatory perspective on the regulations

10. To provide adequate training to all and ensure the training materials are vetted to ensure / maintain current regulations