Manager - Compliance

Testing Framework:

- Assist in preparing annual compliance testing plan for senior management.

- Review and track monthly and quarterly plans-scope and update senior compliance leadership on progress.

- Provide detailed report to Compliance senior management on a regular basis of the review conducted in a month and critical gaps identified during the review along with status.

Regulatory Compliance:

- Review the testing checklists required for the review for each regulated business.

- Review loan book, regulatory returns and other information submitted to RBI - NHB.

- Develop solutions to address specific challenges faced by the business units in regulatory compliance matters including impact assessments.

Business, Policies and Processes:

- Develop a comprehensive understanding of Company's business, systems, Policies and processes.

- Acquire in-depth process understanding for planned audits, including processes, systems involved, data flow, and datasets.

- Formulate queries, lead process walkthroughs with key business stakeholders and document the outcome with thorough identification of risks and controls.

- Drives and understand root cause of the observations and ensure implantation of corrective actions.

- Co-ordinate-Collaborate with various verticals such as Compliance, Credit, CX, Ops, Product and tech teams for ensuring overall compliance framework.

Systems-Journeys:

- Assess the loan journeys, internal tech journeys and developments to ensure adherence to regulatory guidelines and internal policies-processes.

Identification, Reporting and Mitigation of Compliance Risks:

- Carry out Annual Compliance Risk assessment and mitigation actions.

- Assist the Compliance leadership in providing updates to senior management on the critical compliance issues for immediate attention and escalations.

Regulatory Inspections-Audits:

- Provide constant support during regulatory inspections.

- To act as a bridge between Internal Audit-Regulators and Business to follow up on IA recommended action closures by business units.

Team Management:

- Lead compliance team.

Qualification:

- Essential - CA - CS - CIA - MBA Finance.

- Preferred - CA-CS.