Responsibilities:
- Assist the Chief Compliance Officer (CCO) in planning, designing, and implementing standards for compliance with all applicable regulatory regimes.
- Conduct Compliance risk assessments to identify potential areas of non-compliance.
- Ensure the Company's compliance with Master Directions/Circulars issued or amended by RBI/NHB/SEBI/MCA and other regulatory bodies.
- Develop, implement, and maintain regulatory policies and procedures as part of the Compliance Program.
- Establish review mechanisms to ensure ongoing effectiveness in ensuring all applicable compliances by the company.
- Develop and implement controls for tracking and documenting regulatory risks.
- Collaborate with cross-functional teams to facilitate compliance implementation across all levels and processes of the organization.
- Direct compliance issues to existing channels for resolution.
- Maintain and organize compliance records in alignment with internal control and audit mechanisms.
- Identify opportunities for process improvement and development of risk control measures.
- Monitor reporting, escalation, and timely remediation of issues, deficiencies, or regulatory matters related to compliance risk management.
- Conduct regular assessments to ensure policies align with legal requirements.
Qualifications:
- Bachelor's degree in Law, Business Administration, Finance, or related field (advanced degree preferred).
- Previous experience in a compliance role within the financial sector, preferably in banking, insurance, or investment.
- In-depth knowledge of regulatory requirements imposed by RBI/NHB/SEBI/MCA and other relevant regulatory bodies.
- Strong understanding of compliance risk management principles and practices.
- Excellent communication and interpersonal skills to effectively collaborate with diverse teams.
- Analytical mindset with the ability to identify and address compliance issues proactively.
- Detail-oriented approach with a commitment to maintaining accurate compliance records.
- Ability to adapt to evolving regulatory landscapes and implement necessary changes accordingly.
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