Senior Manager Compliance

Role & responsibilities

Governance and Monitoring Identifying, addressing, reporting and supporting to Chief Compliance Officer on regulatory compliance issues

Ensuring various stakeholders to stay abreast with applicable regulatory standards via prompt communication of new/amended regulations, and tracking Implementation of the same

Detailed MIS of applicable regulation is prepared, circulated, and tracked till implementation

Training/ meetings conducted with relevant stakeholders to discuss challenges/ progress

Ensuring timely Regulatory Reporting to RBI, NHB, etc. (250+)

Preparing detailed monthly MIS for applicable and due filings regulator wise

Circulation of checklist with various functions

Ensuring timely filing by the teams on respective due dates

Escalation to CXO / CCO in case of any challenge

Preparing MIS for completed filings with reason of delay (if any), and circulation of the same with CCO, and other stakeholders

Ensuring S&E/ Trade License registration/ renewal in time (~ 20 p.a.)

Coordinating with Admin team to collate the required documents and submission with SGC

Tracking pending renewals/ closure/ new applications

Display compliance checklist and tracking implementation

Escalation in case of any challenge

Invoice review, approval by CXO, and maintain MIS

Review of Customer Communications/ Scripts from regulatory compliance perspective

Including all new/updated SMS/emails, consents, loan documentation etc. which are implemented in existing or any product/ partnerships

Maintain repository of all regulatory correspondences - year, subject and folder wise

Conduct monthly Suspicious Activity Review Committee meetings for effective transaction monitoring

Collating information from Operations, Collections, other functions

Preparing deck, and minutes of the meeting

Escalation of issues (if any) to relevant stakeholders

Tracking closure of open issues

Reporting to regulator, if required

Policy & Procedures Ensuring Annual Review/renewal of policies by policy owners, and approval by the Board

Drafting/ amendment of Compliance related policies as per extant regulations

Review of policies from Compliance perspective, wherever applicable

Employee Training & Communication Strengthen the Compliance training program to focus on key risk areas (like AML, FPC, etc.)

Periodic updates to the employees via emails/ screen display

Listing Compliance Ensuring SEBI/NSE related compliance w.r.t to fund raising via Non-convertible Debentures and Commercial Papers ( 14 active ISINs - 13 NCD and 1 CP)

Review of issue timelines

Setting up issue on EBP platform

NSE announcement for issue of securities

Bidding on EBP platform, and acceptance

Settlement on EBP platform

Listing fee payments

Ensuring Allotment, PAS-3 filing

Final listing application submission

Periodic compliances

New Product/Partnership | Digitization Support CCO towards implementation of a new technology/process/tool to automate the business processes

Detailed review of customer loan journey, and applicable documentation as per extant regulations

Enhance the Compliance Program Periodic review/ verification/ Assurance Testing to assess process/ program effectiveness and ongoing improvement with the policies/ SOPs of the company, and the extant regulations

Addressing concerns or questions w.r.t any regulation

Seamless Regulatory Relationships Ensuring no substantial or material concerns from Regulator

Liaison with regulator to resolve any challenge faced by any internal stakeholder during applicable filings

Ensuring timely fulfillment of ad-hoc data requirements of Regulators