Senior manager - compliance

Hiranandani Financial Services · Mumbai, India

Job Responsibilities

Regulatory Liaison:

Act as the primary point of contact and establish effective communication channels with RBI, SEBI, FIU, MCA/ROC, and stock exchanges. Engage in frequent interaction, dialogue, and correspondence to stay updated on regulatory changes and requirements.

RBI Inspections and Queries:

Manage and navigate RBI inspections, responding to routine queries and inquiries from regulators in a timely and comprehensive manner.

Compliance Implementation:

Ensure strict adherence to all applicable RBI Master Directions for NBFCs, focusing particularly on KYC, FPC, AML, and other pertinent areas. Oversee the drafting, finalization, and implementation of policies mandated by RBI, conducting periodic reviews to guarantee alignment with regulatory standards.

Guidance and Training:

Provide guidance to the business units on emerging regulatory developments and drive the implementation of necessary changes. Conduct training sessions for employees, especially at branches, regarding compliance protocols, KYC procedures, and regulatory updates.

Product Validation and Documentation:

Validate product programs, customer interface documents, and marketing materials to ensure compliance with prevailing regulations. Regularly review and refine these materials to align with regulatory guidelines.

Governance Strengthening:

Develop robust systems and processes to fortify governance within the organization. Implement measures to enhance compliance, risk management, and internal controls.