Urgent Requirement For Lead – Compliance

1. Regulatory Compliance: Stay up-to-date with relevant laws, regulations, and guidelines governing the

HFC/NBFC and ensure the company's operations align with these requirements.

2. Policy Development and Implementation: Develop and maintain comprehensive compliance policies,

procedures, and controls to meet regulatory standards and internal risk management needs.

Classification | INTERNAL

3. Internal Monitoring and Auditing: Perform regular internal compliance audits and assessments to identify

potential risks, weaknesses, and non-compliance issues. Implement corrective actions and monitor their

effectiveness.

4. Reporting and Documentation: Prepare and submit accurate compliance reports to senior management,

board of directors, and regulatory authorities, as required.

5. Regulatory Liaison: Serve as the primary point of contact for interactions with regulatory bodies, responding

to inquiries, and ensuring timely compliance with information requests.

6. Risk Assessment: Collaborate with the Risk Management team to assess compliance risks and support the

development of risk mitigation strategies.

7. AML/CFT Compliance: Oversee Anti-Money Laundering (AML) and Counter-Terrorist Financing (CFT)

compliance efforts, including customer due diligence and suspicious activity reporting.

8. Data Protection: Ensure compliance with data protection and privacy laws, safeguarding customer and

employee data.

9. Code of Conduct: Promote a culture of ethical conduct and integrity within the organization and investigate

any reported breaches of the code of conduct.

10. Monitoring Regulatory Changes: Keep abreast of changes in regulations and proactively adapt compliance

processes to comply with the evolving regulatory environment.

11. Training and Development: Keep yourself and the compliance team updated with industry trends, best

practices, and emerging compliance issues.

• Experience

  5 - 11 Years

• No. of Openings

  1

• Education

  Graduate (LLB, CS)

• Role

  Compliance Lead

• Industry Type

  Banking / Financial Services / Stock Broking

• Gender

  [ Male / Female ]

• Job Country

  India

• Type of Job

  Full Time

• Work Location Type

  Work from Office