Senior Manager - Compliance - Mumbai - Lower Parel

Tata Asset Management Private Limited · Mumbai · onsite · Posted 64d ago

Not disclosed4–6 yrsfulltimeSourced from Foundit

About a minute. You'll make an account on the way through.

About this role

Job Description

Maintenance of compliance framework in line with the Regulatory Requirements
Ensuring compliance on an ongoing basis with the various Regulatory Guidelines, Acts, etc
To introduce and sustain good practices relating to the Compliance framework.
Ensuring that the regulatory requirements are complied with while reviewing various policies, programs and various products & business processes
To facilitate preventive measures for mitigating compliance risk resulting in material financial loss or loss to reputation, for the Company.
To introduce a healthy compliance culture within the Company so that governing laws, rules, and regulations are effectively complied with

Oversee, co-ordinate and monitor the day-to-day compliance activities of the organization
Ensuring timely dissemination of Regulatory guidelines highlighting the aspects of the guidelines together with the action points emanating from the guidelines
Help Senior Management and the Audit Committee of Board (ACB) in recognizing and mitigating the compliance risks in the Company.
Keeping the senior management and concerned stakeholders updated on the new circulars, amendments to existing circulars etc.
Advising and assisting on compliance related aspects during new product launches / changes in existing product lines.
Timely resolution of queries raised by Internal stakeholders on compliance related aspects wherever require
Ensuring compliance with the company's internal policies and procedures
Testing of compliances as per periodicity mentioned in the Compliance Testing Plan
Conducting and facilitating AML Committee meeting and ensuring necessary reporting requirements.
Liasioning with Inspection team and co-ordinating with various stakeholders across the Company during the Regulatory inspection for smooth conduct of the inspection .
Assisting various team / stakeholders in rectifying deficiency / implementing recommendations of the regulator pointed in inspection.
Attending to Internal Audit queries or requirements and defining IFC and ensuring compliance to their observations thereof.
Development of training modules on various compliance related aspects. and onduct training sessions on compliance related aspects at appropriate forums

Qualifications & Experience:

CA/CS/MBA finance
4-5 years of related experience in the compliance function with an NBFC or a Bank
Practical and working knowledge of Regulatory compliances in NBFC / Banking sector
Good interpersonal skills with strong oral and written communication skills
Strong analytical skills with an eye for details and controls
Commitment and energy to work with a high growth paced and dynamic organization.

Sourced from foundit

Skills

regulatory requirementsInternal Auditregulatory inspectionCompliance Testing Plan

About Tata Asset Management Private Limited

Tata Asset Management Private Limited

Financial Services

875

employees

1994

32 years old

Mumbai

India

About

Tata Asset Management Private Limited (TAM) is one of the earlier asset management companies in India with a track record of around 30 years in investment management.

Industries

Financial ServicesBankingInvestment Banking / Venture Capital / Private Equity

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