Assistant Manager Regulatory Compliance

AU SMALL FINANCE BANK; Mumbai; On-site; INR 1,500,000 - 2,500,000; Full time

Job summary

AU SMALL FINANCE BANK in Mumbai seeks a seasoned regulatory compliance professional to manage RBI returns, regulatory reporting, and regulatory affairs within the banking sector. The role demands 5-6 years of focused experience and a strong grasp of RBI regulations.

Candidates should hold CA, MBA Finance, or M.Com, or an equivalent qualification, with professional certifications viewed as an advantage. You will work with Finance, Risk, IT, and other teams to ensure timely filings and audit

Qualifications

• Chartered Accountant (CA), MBA (Finance), M. Com, or equivalent qualification.
• Professional certifications in Regulatory Compliance/Risk Management would be an added advantage.

Responsibilities

• Ensure timely and accurate submission of Regulatory returns, reports, and periodic compliance filings.
• Monitor RBI circulars, notifications, and regulatory updates and assess their impact on reporting requirements.
• Coordinate with Finance, Risk, Operations, IT, Treasury, Business, and other stakeholders for collection and validation of data.
• Review reporting processes and implement controls to ensure data accuracy, completeness, and regulatory compliance.
• Maintain MIS and trackers for all regulatory submissions, observations, and compliance status.
• Liaise with Regulatory (RBI) officials and respond to regulatory queries, supervisory observations, and information requests.
• Support Inspections, compliance audits, and regulatory examinations by providing required information and documentation.
• Identify reporting gaps, recommend corrective actions, and drive process improvements through automation and system enhancements.
• Ensure proper documentation, record retention, and audit trails for all regulatory submissions.
• Prepare management reports and compliance dashboards for senior leadership.

Skills

Regulatory compliance

RBI regulations

Data coordination

Communication

Education

CA / MBA Finance / M.Com

Tools

Regulatory reporting software

Job description

• Professional certifications in Regulatory Compliance/Risk Management would be an added advantage.
• 5-6 years of experience in Regulatory Compliance, Regulatory Reporting (RBI and others), Regulatory Affairs, or Financial Reporting within Banks/NBFCs.
• Strong understanding of RBI regulations, circulars, returns, and supervisory reporting requirements.

Location:

• Mumbai BKC

Qualification

• Chartered Accountant (CA), MBA (Finance), M. Com, or equivalent qualification.
• Professional certifications in Regulatory Compliance/Risk Management would be an added advantage.

Relevant Experience

• 5-6 years of experience in Regulatory Compliance, Regulatory Reporting (RBI and others), Regulatory Affairs, or Financial Reporting within Banks/NBFCs.
• Strong understanding of RBI regulations, circulars, returns, and supervisory reporting requirements.

Key Responsibilities

• Ensure timely and accurate submission of Regulatory returns, reports, and periodic compliance filings.
• Monitor RBI circulars, notifications, and regulatory updates and assess their impact on reporting requirements.
• Coordinate with Finance, Risk, Operations, IT, Treasury, Business, and other stakeholders for collection and validation of data.
• Review reporting processes and implement controls to ensure data accuracy, completeness, and regulatory compliance.
• Maintain MIS and trackers for all regulatory submissions, observations, and compliance status.
• Liaise with Regulatory (RBI) officials and respond to regulatory queries, supervisory observations, and information requests.
• Support Inspections, compliance audits, and regulatory examinations by providing required information and documentation.
• Identify reporting gaps, recommend corrective actions, and drive process improvements through automation and system enhancements.
• Ensure proper documentation, record retention, and audit trails for all regulatory submissions.
• Prepare management reports and compliance dashboards for senior leadership.