Senior Manager - Compliance - Mumbai - Lower Parel at Tata Capital

Mumbai, maharashtra, India -

Full Time

Start Date

Immediate

Expiry Date

16 Jun, 26

Salary

0.0

Posted On

18 Mar, 26

Experience

2 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Compliance Framework Maintenance, Regulatory Guidelines Adherence, Risk Mitigation, Compliance Culture Introduction, Compliance Monitoring, Regulatory Dissemination, Risk Recognition, Policy Review, Product Launch Compliance, Internal Stakeholder Advising, Internal Policy Compliance, Compliance Testing, AML Committee Management, Regulatory Inspection Coordination, Internal Audit Query Resolution, Training Module Development

Industry

Financial Services

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. * Liasoning 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 conduct 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

Responsibilities

The role involves maintaining the compliance framework according to regulatory requirements, ensuring ongoing adherence to guidelines, and introducing good compliance practices across policies, products, and business processes. Responsibilities also include overseeing daily compliance activities, updating management on new circulars, and facilitating preventive measures to mitigate compliance risk.