Compliance Manager - NBFC

1. To establish and manage a robust Compliance Program to commensurate with the Business strategies of the Organization through the below activities:

- Review and disseminate all applicable regulatory guidelines, with clear analyses of impacts, actions to be taken and timelines to the relevant units.

- Examine relevant regulatory aspects while approving Products and Processes

- Ensure the policies of the organization are in line with the regulatory requirements

- Provide guidance and recommendation for corrective actions as appropriate

- Recommend solutions to Compliance Related matters

- Frequent interactions with Business to identify Compliance gaps and ensure resolution of the same.

2. To identify Compliance Risks on an ongoing basis, carry out periodical Compliance Risk Assessment

3. Design Compliance Monitoring Program basis the Compliance Risk Assessment to enable ongoing monitoring and enable the functions to be at satisfactory level

4. Manage and coordinate compliance audits and inspections by regulatory authorities, ensuring timely responses and corrective actions.

5. Regulatory liaising and carry out following activities:

- Vetting of correspondences / compliances before submitting to regulators

- Coordination with Departments and Regulators during regulatory inspections

- Timely submission of data as sought by regulators

- Dissemination of inspection reports, collation of compliance, validation of compliance, reporting to Board / Board Committee

6. Provide compliance training and awareness programs to employees and stakeholders.