Assistant Manager - Compliance

BharatPe; Gurugram District; On-site; INR 700,000 - 1,100,000; Full time

Job summary

BharatPe is seeking a Compliance Testing professional to monitor developments in the fintech regulatory environment and disseminate updates across the team.

Responsibilities include assisting senior management in compliance testings, performing tests, preparing reports, and designing risk assessments while maintaining action-tracked timelines. The role requires staying informed on regulatory guidelines and reviewing product notes, policies, and SOPs from a regulatory and legal perspective.

Qualifications

• Maintain oversight of the developments in fintech regulatory environment.
• Dissemination of updates on circulars, master directions, advisories issued by regulators such as RBI, NPCI, IRDA, TRAI etc.
• Assist Sr. Manager/ Head- Compliance in performing testings and related deliverables as per the compliance audit plan.
• Perform compliance testing’s as per prescribed policies, procedures and standards.
• Prepare reports and management presentations reflecting outcomes of compliance testings with a focus on regulatory risks.
• Stay informed, adopt and implement best-in-class compliance testing practices and solutions to automate testing.
• Review Product Notes, Policies, SOPs, Agreements from Regulatory and Legal perspectives.
• Design and conduct periodic risk assessments/compliance testing and share reports with corrective plans.
• Proactively manage potential regulatory risks; maintain tracker with action plans & timelines.
• Focus on self-learning and development on relevant guidelines in financial services products (Payments/ Lending) and report progress to align with department goals.
• Maintain necessary policies under various regulations and ensure periodic review and updation.

Responsibilities

• Maintain oversight of the developments in the Fintech regulatory environment.
• Dissemination of updates on circulars, master directions, advisories issued by the regulators such as RBI, NPCI, IRDA, TRAI etc.
• Assist the Sr. Manager/ Head- Compliance in performing testings and related deliverables as per the compliance audit plan.
• Perform compliance testing’s as per prescribed policies, procedures and standards.
• Prepare reports and management presentations to reflect the outcomes of the compliance testings with a focus on regulatory risks.
• Stay informed, adopt and implement the best-in-class compliance testing practices and solutions to automate testing
• Ability to review Product Notes, Policies, SOPs, Agreements from Regulatory and Legal point of view.
• Design and conduct periodic risk assessments/compliance testing and share reports along with closure of corrective plans.
• Proactively manage the potential regulatory risks. Maintain tracker with action plan & timelines.
• Focus on self- learning and development on all relevant guidelines in the areas of financial services products
• (Payments/ Lending etc.) and ensure reporting of the progress to sync in with departmental goal
• To maintain necessary policies required under various regulations/ business purposes and ensure their periodic review and updation.

Job description

• Maintain oversight of the developments in the Fintech regulatory environment.
• Dissemination of updates on circulars, master directions, advisories issued by the regulators such as RBI, NPCI, IRDA, TRAI etc.
• Assist the Sr. Manager/ Head- Compliance in performing testings and related deliverables as per the compliance audit plan.
• Perform compliance testing’s as per prescribed policies, procedures and standards.
• Prepare reports and management presentations to reflect the outcomes of the compliance testings with a focus on regulatory risks.
• Stay informed, adopt and implement the best-in-class compliance testing practices and solutions to automate testing
• Ability to review Product Notes, Policies, SOPs, Agreements from Regulatory and Legal point of view.
• Design and conduct periodic risk assessments/compliance testing and share reports along with closure of corrective plans.
• Proactively manage the potential regulatory risks. Maintain tracker with action plan & timelines.
• Focus on self- learning and development on all relevant guidelines in the areas of financial services products
• (Payments/ Lending etc.) and ensure reporting of the progress to sync in with departmental goal
• To maintain necessary policies required under various regulations/ business purposes and ensure their periodic review and updation.