Address- Assist the Chief Compliance Officer in overseeing the implementation of Compliance Policy, including policies and procedures, prescriptions in Compliance Manuals, internal codes of conduct, etc.
- Assist Chief Compliance Officer in identifying the level of Compliance risk in the organization. The Compliance risks in existing / new products and processes shall be analyzed and appropriate risk mitigants put in place.
- Review the products of the Company in accordance with existing RBI regulations.
- Assist in monitoring and testing Compliance by performing sufficient and representative Compliance testing, and the results of such Compliance testing shall be reported to the Senior Management. Periodically circulate the instances of compliance failures among staff, along with the required preventive instructions. Staff accountability shall be examined for major Compliance failures.
- Track all the RBI circulars, circulate the implementation and monitor the implementation of the same.
- Ensure compliance of regulatory/ supervisory directions given by RBI in both letter and spirit in a time-bound and sustainable manner.
- Assist in RBI Inspection and post activities related to the same.
- Assist in regulatory filings to RBI.
- Assist in handling Business compliance queries.
- Assist in reviewing policies of the Companies from compliance standpoint.
Desired Profile:
- Education qualification: CA or CS mandatory
- Min. 4-5 years of relevant experience in similar role
