Compliance Manager

We are hiring for Compliance Manager role for Mumbai location.

Job Purpose : Compliance Manager is responsible for making sure that a company's administration is running smoothly, particularly with regard to the company's compliance with statutory and regulatory requirements.

Key Responsibilities:

Preparing and finalizing of regulatory returns on periodical basis. Financials, Web-site and Notice board disclosures. Monthly Cash Transaction (CTRs), Special Mention Account (SMA 2) and CRILIC monitoring and regulatory filings in CIMS, Daksh and PRAVAAH portal etc. Drafting and Reviewing of various Polices and ensuring Board/Audit/ internal approval as per the requirements.

RBI Inspection - Assisting in RBI inspection incl. obtaining data from various business, review of the data before submission, drafting of response related Inspection observations, Board notes, etc.

Assisting in Special projects related to Regulatory approvals, M&As, Due Diligence, Listing, Governance and sensitive matters.

Preparing documents to updates management on any regulatory changes impacting the company, Policy benchmarking and Regulatory updates and actionable of Peers.

Drafting, Review and Monitoring of RBI escalated complaints and Ombudsman matters.

Review and advisory on FEMA compliance, Outsourcing guidelines, Vendor agreements, Press -releases, marketing materials, etc. Compliance audits: Continuous engagement with various Business and support functions for review of various process and policies.

Learning & Development Knowledge Series, Test and learnings for AML-KYC, Fair Practice Code, Data Privacy, Dos & Donts, etc.

Shareholders Agreement, Subscription Agreement - knowledge of related legal provisions, due diligence and documentation

Compliance Testing: Assisting in Preparing Compliance testing plan, Compliance testing as per Board approved plan

Coordinating & Liasioning with Registrar of Companies, Ministry of Corporate Affairs and Reserve Bank of India & Statutory Auditors wherever need be. Monitoring of Compliances and FPRs actions with or without Compliance Software.

Key deliverables:

Meeting Compliance requirements as per RBI, IRDAI and other applicable regulations, and ongoing monitoring.

Overview of HR compliances and any other compliances applicable to the company

Analysis of regulations / circulars issued by regulators and advise business units for compliance on their operation

Drafting and Review of all Polices and Agreements as per applicable compliance framework

Evaluation and use of Compliance Software

Engaging all stakeholders to adhere Company policies and Regulatory guidelines Awareness and Training to all business lines to adhere with Fair Practice Code and AML/KYC rules

Technical Competencies:

Strong understanding of current regulations affecting NBFC ( especially NBFC-SI)

Knowledge on Audits & Statutory compliances, Strong understanding of current regulations affecting NBFC companies

Advanced computer database and Microsoft Office software skills

Good knowledge of RBI and IRDAI regulations, Companies Act and other Corporate Laws.

Regulatory Compliance, Corporate Law, CS, Legal Jobs in BFSI Experience on legal and compliance matters with listed NBFC (ML/ UL) can be an added advantage

Personal Attributes: Good Communication & Skills

Sound Knowledge of MS Excel

Knowledge on Audits & Statutory compliances

Flexible and adaptable

Proactive, Initiative and Self Motivated

If you are interested to experience a growing, agile and exciting workplace environment, come be a part of the Avanse family!