Education – MBA/ CA/ Graduate
Experience – 3- 6 years
Must have – Experience into internal audit who wants to move into compliance testing role
REPORTINGSTRUCTURE:
Chief Compliance Officer
QUALIFICATION:
CA/CS/ MBA/Post-Graduate
EXPERIENCE:
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Prior audit experience of NBFCs /Banks
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In-depth knowledge of relevant regulatory requirements and guidelines
SKILLS ANDCOMPETENCIES
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AnalyticalSkills
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Decisionmaking
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Strong communication skills, build a strong working relationship with all stakeholders and the ability to influence fact-based and logicalconclusions.
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Demonstrate high levels of Ownership &Accountability.
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Abilitytoorganizetheirwork,planwellandprioritizebasedonimpactonwork..
Education – MBA/ CA/ Graduate
Experience – 5- 9 years
Must have – NBFC experience, has handled the ‘Daksh Portal’, strong NBFC regulatory compliance knowledge and dealt with RBI inspection
KEY STAKEHOLDERS: EXTERNAL
Regulators, Statutory Auditors
REPORTING STRUCTURE:
SVP – Compliance or Chief Compliance Officer(to be finalized)
QUALIFICATION:
Graduate/ Postgraduate/ MBA/CA
EXPERIENCE:
5 to 12 years of relevant experience in regulatory Compliance.
SKILLS AND COMPETENCIES
•Candidate should be sincere and focused with an eye for detail.
•Adhere to regulatory and internal timelines.
•Have good understanding of RBI guidelines and its compliances , RBI returns and tools like Daksh , Handling inspections etc
•Proficient in MS access (including Excel, word, PPT etc advanced)
Industry – Bank/ NBFC
Location- Kurla
Experience – 8-12 years in financial services
This is an individual contributor role
Must have: business advisory & retail compliance knowledge
Sound knowledge of IRDAI guidelines and retail products will be an advantage
KEY STAKEHOLDERS: EXTERNAL
Statutory Auditors, Regulators
REPORTING STRUCTURE:
Sr. Vice President – Compliance
QUALIFICATION:
CA/CS/ LLB/Post Graduate
EXPERIENCE:
•Proven experience of 10+ years in compliance within the financial services sector, with specific exposure to NBFC regulations
•In-depth knowledge of relevant regulatory requirements and guidelines
•Strong analytical skills with the ability to interpret regulations
•Excellent communication and interpersonal skills
KEY ATTRIBUTES:
•Proactive and solution-oriented mindset
•Ability to work independently and collaboratively
•Detail-oriented and capable of managing multiple priorities effectively
REPORTINGSTRUCTURE:
DVP – Compliance
QUALIFICATION:
Graduate/ Postgraduate/ MBA
EXPERIENCE:
8 to 12 years of relevant experience in AML/ KYC/ Due Diligence
SKILLS ANDCOMPETENCIES
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Candidate should be sincere and focused
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Adhere to regulatory and internal timelines
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Have good understanding of AML/ KYC requirements, FIU reporting, FATF Recommendations, Beneficial Owners, identification of Politically Exposed Person, Adverse Media screening etc
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Proficient in MS access (including Excel, word, PPT etc advanced)
BUSINESS: Piramal Enterprises Limited
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Performing due diligence on customers on screening system and media adverse search on internet
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Identifying Beneficial Owners in case of Companies/ Partnership/ Trusts/ Funds etc
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Performing Bi-annual Anti Money Laundering (AML) checks
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Preparing and filing AML returns with RBI
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Ensuring regulatory / FIU communications are timely submitted.
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Transaction monitoring and disposition of AML alerts.
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Monitoring and tracking Re-KYC status, CKYC, Aadhaar seeding etc
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Preparing MIS for AML Risk Categorization, Re-KYC, CKYC status to be shared with Management/ Board
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Keeping track of Regulatory updates and sharing with the internal stakeholders
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Monitoring the action points for timely closure
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Support the Compliance team during Inspection, Audits
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Coordinating with Internal Teams and external service providers
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Responsible for keeping abreast of regulatory developments or other matters affecting the business activities, systems, and controls.
