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Compliance Professional - FinTech - CA / CS / LLB

Wave HR and Advisory Pvt LtdMumbai, India

28 days ago

Job description

Compliance Professional (with progression to Chief Compliance Officer) Mumbai

Job Requirement :

CA / CS / LLB
Currently working with NBFC in compliance department or in Law firm handling compliance advisory to NBFC
5-8 years of relevant experience in compliance.
In-depth knowledge of RBI NBFC regulations. Knowledge of IRDA guidelines is an added advantage.
Strong analytical, leadership, and communication skills.
High ethical standards and integrity.

Key Responsibilities :

Ensure adherence to all applicable RBI and IRDA guidelines, circulars, and Master Directions related to NBFCs.

Maintain updated knowledge of relevant financial, legal, and regulatory developments.

Monitor compliance with Know Your Customer (KYC), AML / CFT, Outsourcing Guidelines, Fair Practice Code, Credit Bureau norms, Companies Act, etc.

Monitor the compliances by the Lending Service Providers (LSP) and ensure the enforcement of such compliances is sufficiently covered under the LSP agreement.

Design and implement internal control systems to monitor compliance and prevent violations.

Identify potential areas of compliance vulnerability and risk.

Implement corrective action plans to mitigate compliance risks.

Act as the nodal point of contact for all compliance-related communication with the RBI and other regulatory bodies.

Ensure timely filing of regulatory returns, statements, and responses to notices.

Develop and implement a compliance training program for employees and management.

Promote a strong compliance culture across the organization.

(ref : iimjobs.com)

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Compliance Professional • Mumbai, India