Team Leader - Compliance - Leading NBFC in Mumbai
Assisting in monitoring and overseeing day to day compliances to RBI- NBFCs guidelines as applicable to Loan Company/ Asset Finance Company/ Infrastructure Finance Company/ Core Investment Company
- Liaison with RBI for observing compliance requirements.
- Responsible for Compliance Manuals/ SOPs, implementation and monitoring of the same.
- Coordination with other departments for audits, regulatory inspection.
- Updating management on recent developments in the industry including regulatory changes.
- Advising other departments on various regulatory issues.
- Support vetting of legal agreements/ contracts from the compliance stand point.
- Assisting in undertaking compliance verification of processes/ regulations to understand the limitation, if any.
- Filing with regulatory authorities (RBI). These may be event based or periodical.
- Responsibility for setting and meeting KPIs of the department
- Responsibility for the budget, staffing and smooth functioning of the department including meeting the internal SLA deadlines and external regulatory compliances (RBI).
- Responsibility for guiding the management in meeting external compliances with due consideration to peculiarities of organizational structure and business offerings.
- Responsibility for providing regulatory support to Treasury Department in fund mobilisation programmes with a view to optimize the cost of capital.
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