:

- Ensure filing of various returns with RBI and other statutory/regulatory bodies within the due date.

Includes

Fraud returns, Risk Based Assessment of KYC/AML, DNBS returns, etc.

- Perform independent compliance testing of various products of the Company on a sample basis.
- Assist in preparing data pack for various meetings such as High Level Monitoring

Committee, Senior Management Committee, Compliance meeting, etc and draft minutes of aforementioned meetings.

- Track regulatory changes and update internal stakeholders
- Monitor implementation of regulatory requirements by collaborating with internal teams
- Monitoring compliance in compliance monitoring tool
- Prepare review notes for Board/Audit Committee
- Develop and maintain policies and processes with respect to Compliance such as

KYC/AML policy,



fraud policy, Compliance policy, Fair Practice code, etc.

- Assist in RBI inspection of the Company and internal audit of Compliance function.

10.

File Suspicious Transaction

Report (STR) and other reports with FIU

- Develop and conduct compliance training sessions to help drive Compliance culture in the company
- Miscellaneous activities such as Branch return, Compliance newsletter, branch visit,

NCIF backtracking, approval of creatives, transaction monitoring, track compliances on

Compliance tracking tool, etc.

- Review and supervise closure of AML alerts

📌 Team Member - Compliance - Kotak Mahindra Prime Ltd (Mumbai)
🏢 Acura Solution
📍 Mumbai