• Role- Head of Compliance for a NBFC + B2B Fintech firm
• Location – Mumbai
• Profit making- firm ( an established B2B NBFC- which also is a Fintech)

Key Responsibilities

• Conceptualize, design and monitor comprehensive Compliance Policy
• To establish and manage a robust Compliance Program to commensurate with the Business strategies of
  the Organization through the below activities:
• Review and disseminate all applicable regulatory guidelines, with clear analyses of impacts, actions
  to be taken and timelines to the relevant units.
• Examine relevant regulatory aspects while approving Products and Processes
• Ensure the policies of the organization are in line with regulatory requirements
• Provide guidance and recommendation for corrective actions as appropriate
• Recommend solutions to Compliance Related matters
• Frequent interactions with Business to identify Compliance gaps and ensure resolution of the same
• To Identify Compliance Risks on an ongoing basis, carry out periodical Compliance Risk Assessment
• Design Compliance Monitoring Program basis the Compliance Risk Assessment to enable ongoing
  monitoring and enable the functions to be at satisfactory level
• To conduct inquires / investigations in response to alleged violations of rules, regulations, policies,
  procedures and the Code of Conduct
• To be a Nodal point for all regulators and carry out the following activities:
• On going liaising with regulators
• Vetting of correspondences / compliances before submitting to regulators
• Coordination with Departments and Regulators during regulatory inspections
• Timely submission of data as sought by regulators
• Dissemination of inspection reports, collation of compliance, validation of compliance, reporting to
  Board / Board Committee.
• To periodically report to the Management, Committees of the Board and the Board on the compliance
  matters and update periodically with the changes in the regulatory landscape and their impacts to the firm

Person Profile

• CA/ Masters with 16 years + experience
• Knowledge Of Compliance Trends
• Leadership & Organizational Abilities
• Strategic Thinking
• Problem Solving Attitude