Manager - Compliance

• Testing Framework

• Assist in preparing annual compliance testing plan for senior management

• Review and Track monthly & 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 & 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