Associate Director / Director Compliance

  • Full Time
  • Anywhere

Job Description:

– Managing the compliance and regulatory risk and providing support to the Senior Management in connection thereto

– Assessing the compliance risks faced by the business and to ensure that the company appropriately manages those risks.

– Disseminating regulations to business and support function and provide ongoing advisory services to ensure that the company operates in accordance with all regulatory and legal requirements.

– Overseeing and monitoring the implementation of the compliance program

– Correspondence with the regulators RBI, IRDA etc.

– Provide compliance opinions to the users on applicability of regulatory laws in relation to activities of the company

– Preparing and presenting clear and concise compliance reports to the management

– Promoting a compliance culture.

– Providing guidance, advice, and/or training and educational programs, to improve business’ understanding of related laws and regulatory requirements.

– Perform regular and comprehensive compliance reviews

– Review and regular update of policies and procedures in view of new regulations including compliance manuals

– Ability and willingness to single-handedly conduct all compliance related functions.

– To obtain approvals / licenses / certifications from regulatory bodies such as RBI’s approval for new product offering wherever needed.

– To ensure legal / compliance diligence for new customers/ vendors on boarding: KYC, Intelligence checks and AML verifications; insurance related compliances etc.


– Experience Required: 10-15+ years of related experience out of which a minimum of 7 years in similar position/ responsibility in a Bank or Financial Institution.

– Education: MBA Finance/CA

– Strong analytical and quantitative background

– Devised plans & contributed in the development of overall compliance

– Digital Lending Experience is preferred – exposure to customer application journey /rule engines/scorecards

Key Competencies:

– Person with an eye for details and controls.

– Good Interpersonal skills, with strong written and oral communication.

– Possess an entrepreneurial mind-set with the ability to achieve results in a fast pace, rapid growth environment characterized by dynamism and ambiguity.

– Energy to work in a high growth and dynamic environment.

– Have a commitment to excellence and strong achievement orientation

– Strong Decision Making Skills


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