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Regulatory Compliance Manager

4-6 years

Mumbai

Regulatory Compliance Manager

SkillMentor Connect

posted 10d ago

Job Role Insights

Key skills for the job

Job Description

Duties & Responsibilities
Disseminate circulars / letters /advisories/ guidelines issued by the Regulator to relevant business units highlighting the regulatory requirements and monitor compliance of these guidelines.
Perform compliance testing, internal compliance reviews & monitoring activities. Ensure strict adherence to all regulatory requirements, guidelines, and directives issued by the relevant authorities, including the Reserve Bank of India (RBI) and other regulatory bodies.
Keep a track and strict monitoring of all correspondences with the Regulator and ensure that responses to regulatory authorities are properly submitted within the stipulated period of time.

Assist in managing regulatory inspections. End to end management including obtaining data from various business, review of the data before submission, review of response related Inspection observations, Board notes, etc.
Prepare reports for senior management and regulatory bodies as appropriate.
Ensure business activities are conducted in conformity with all applicable laws, regulations, internal policies and procedures. Oversee the creation, revision, and implementation of compliance policies and procedures to ensure they are in line with changing regulations and industry standards.
Periodically revising the Compliance program in light of changes in the needs of the organization, and in line with changing regulatory landscape.
Monitoring & Reporting of Key risks forming part of Compliance Risk Assessment Framework.
Assist Business Units in their day to day queries related to compliances. Drafting, Review and Advisory for various Polices and obtaining Board approvals on continuous basis.
Establish and maintain a compliance training program for employees at all levels, ensuring they are well-informed about compliance requirements and expectations.
Monitoring of NHB filings and periodic returns. Ensuring compliance towards Web-site and Notice board disclosures. Filing of Cash Transaction (CTRs), STR, Fraud reporting
Experience in conducting compliance testing and audits


Employment Type: Full Time, Permanent

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