Job Description

JD

• Monitor regulatory guidelines, laws, and circulars and ensure timely implementation across the business for Retail products.
• Review products, policies, and processes to ensure compliance with applicable regulatory requirements.
• Identify and mitigate compliance risks to prevent financial, operational, and reputational impact.
• Communicate regulatory updates and compliance requirements to stakeholders and senior management.
• Provide compliance advisory support and resolve business queries on regulatory matters.
• Conduct periodic compliance and Fair Practices Code testing and monitor corrective actions.
• Support regulatory inspections, internal audits, compliance reviews, and closure of observations.
• Track compliance exceptions, perform root cause analysis, and drive remediation.
• Develop and deliver compliance training and awareness programs across the organization.
• Assist in submission of Preventive and Corrective responses for queries raised by RBI/ Compliance Testing Group / Internal Audit
• Prepare compliance MIS, reports, and dashboards for management review.

Qualifications & Experience:

• CA / MBA Finance

4-5 years of related experience in the Compliance Testing / Internal Audit function with an NBFC or a Bank