ROLE
– 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.

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