Manager Compliance

• Maintaining oversight of the developments in the MFD, RIA, NBFC, digital lending, andaccount aggregator, to proactively manage the potential regulatory risk exposure ofaffected divisions/departments and ensure compliance with the statutory requirementsand regulations prescribed by SEBI / AMFI / RBI / FIU-IND and all other applicablelegislations.

• Develop, implement, and maintain regulatory policies/procedures/processes under theCompliance Program, including review mechanisms & processing, to ensure its continuouseffectiveness in ensuring all applicable compliances by the company. Identifying andassessing Compliance risks in business & operation functions, and their mitigation measuresincluding checks.

• Collaborate with cross-functional teams to facilitate the implementation of compliancerequirements at all levels/processes of the organization. Work closely with internal teamsto ensure the relevant legal and regulatory requirements are well understood and reflectedin the relevant documentation and internal procedures and processes.

• Develop solutions to address specific challenges faced by the business units in regulatorycompliance matters including impact assessments. Being the face of the Compliance unit,in discussion with the Product team to ensure all regulatory gaps are addressed andexecuted as per regulatory requirements. Review new products/ features on the platformand provide sign-off on the control testing reports.

• Responsible for the preparation of reports related to compliance with internal & externalstakeholders/parties and submitting updates to senior management on critical complianceissues for immediate attention and escalation.

• Assisting with evaluating telecalls, conducting internal compliance reviews/audits, analysinginvestment patterns and preparation of Suspicious Transaction Report (STR), andmonitoring activities, of the departments involved. Obtaining data from variousdepartments & review the same before submission for audits/inspection.

• Coordination for Politically Exposed Person (PEP) related customers checks/onboarding andmonitoring of PEP customers. Specific responsibilities may include trade monitoring; reviewof marketing materials and electronic correspondence; employee training; responding tothird-party due diligence requests; oversight of service providers; GIPS reporting; riskassessment, preparation for regulatory examinations; etc

• Liaison with the SEBI, AMFI, RBI, SRO, RE's & any other Statutory authorities and support inregulatory Inspection and related activities. Handling regulatory reporting, queries, and adhoc requests. Review and Monitoring of Regulator escalated complaints & Ombudsmanmatters.

• The candidate will be suitably well versed with the appropriate information securityresponsibilities for the role and is responsible for adhering to them.

• Post Graduate in Commerce / Business Admin. / Corporate Secretaryship / Law. Weightagewill be given for additional certification in Compliance/Risk Management/Governance/AML.

• 4 - 8 years of professionally qualified experience in relevant banking & financial industry / aregistered investment distributor / adviser, with proven track records.

• Excellent verbal and written communication skills and keen attention to detail and accuracy.Hindi language proficiency is preferred.

• Strong analytical skills with good MS Office knowledge and should be a self-starter and ateam player.

• Comfort in taking initiative, with minimal supervision at all levels of the organization.

• Experience in handling Regulatory/Statutory Compliance’s related reporting andrequirements