Manager - Compliance
Manager - Compliance
godrej capital- Posted 16 hours ago
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Job Description
- 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
More Info
Key Skills
Loan Book Regulatory Returns
Testing Framework
Compliance Risk Assessment
About Company
Skills:
sebi regulations , NCLT procedures, Companies Act, CERSAI, Regulatory Compliance, Banking Law, Transfer of Property Act, Corporate Laws, filing of charges with RoC, external audits, Insolvency Bankruptcy Code, monitoring of charged securities, Contract Act, Stamp Act, SARFAESI Act, Debenture Trustee Regulations, Registration Act
Skills:
Management of compliance programs, Liaising with regulatory bodies, Conducting audits, Preparing compliance reports, Compliance regulations and laws
Skills:
Compliance risk assessment, Stakeholder advisory, Data protection and privacy compliance, Economic Sanctions compliance, Compliance management framework, Legal governance, Contractual compliance
Skills:
regulatory guidelines , Testing Methodology, Regulatory returns, Compliance testing framework, RBS data submissions
Skills:
tax structuring, cross-border tax compliance, Sebi, GIFT City setup, Corporate Tax, global compliance and reporting, FEMA, Indian regulatory frameworks, Transfer Pricing