Compliance Manager

SMFG INDIA CREDIT COMPANY; Thane; On-site; INR 900,000 - 1,800,000; Full time

Job summary

SMFG INDIA CREDIT COMPANY is seeking a regulatory compliance professional to manage timely regulatory filings and governance. You will support KYC/AML frameworks, risk assessments, and regulatory inspections across NBFC/bank environments.

The role involves coordinating data, maintaining trackers, and assisting the Compliance Head on various projects and ad hoc assignments, with a focus on robust compliance oversight.

Qualifications

• Minimum 4 years of relevant experience into regulatory compliance within a NBFC, Bank or HFC.

Responsibilities

• Ensure timely submission of regulatory returns, statutory reports, regulatory intimations and other compliance-related filings in accordance with applicable laws, regulations and internal requirements.
• Support implementation and ongoing maintenance of KYC, AML and regulatory compliance frameworks, including policies, process notes, risk categorisation methodologies and related governance requirements.
• Execute compliance monitoring and testing activities as per approved compliance programs, track observations and support timely closure of identified issues.
• Support compliance risk assessment activities, including KYC & AML risk assessments, RCSA, KRIs and other risk management initiatives, and assist in preparation of reports and committee materials.
• Coordinate data collation, information submission, tracker maintenance and closure of action points arising from regulatory inspections, audits, reviews and examinations.
• Support implementation, administration, testing and enhancement of compliance-related systems, tools, trackers and governance platforms to strengthen compliance oversight and monitoring.
• Prepare compliance MIS, dashboards, management reports and governance-related updates, and coordinate with internal stakeholders to facilitate implementation of regulatory and compliance requirements.
• Manage regulatory intimations and compliance requirements relating to opening, closure, shifting and maintenance of branches and other business locations.
• Extend support during regulatory inspections and maintain proper indenting of the pre and post inspection data flows for repository purpose
• Provide day-to-day operational and administrative support to the Compliance Head and assist in various compliance projects, initiatives and ad hoc assignments

Skills

Regulatory compliance

Job description

Role & responsibilities

• Ensure timely submission of regulatory returns, statutory reports, regulatory intimations and other compliance-related filings in accordance with applicable laws, regulations and internal requirements.
• Support implementation and ongoing maintenance of KYC, AML and regulatory compliance frameworks, including policies, process notes, risk categorisation methodologies and related governance requirements.
• Execute compliance monitoring and testing activities as per approved compliance programs, track observations and support timely closure of identified issues.
• Support compliance risk assessment activities, including KYC & AML risk assessments, RCSA, KRIs and other risk management initiatives, and assist in preparation of reports and committee materials.
• Coordinate data collation, information submission, tracker maintenance and closure of action points arising from regulatory inspections, audits, reviews and examinations.
• Support implementation, administration, testing and enhancement of compliance-related systems, tools, trackers and governance platforms to strengthen compliance oversight and monitoring.
• Prepare compliance MIS, dashboards, management reports and governance-related updates, and coordinate with internal stakeholders to facilitate implementation of regulatory and compliance requirements.
• Manage regulatory intimations and compliance requirements relating to opening, closure, shifting and maintenance of branches and other business locations.
• Extend support during regulatory inspections and maintain proper indenting of the pre and post inspection data flows for repository purpose
• Provide day-to-day operational and administrative support to the Compliance Head and assist in various compliance projects, initiatives and ad hoc assignments

Preferred candidate profile

Minimum 4 Years of relevant experience into regulatory compliance within a NBFC, Bank or HFC.