* Maintenance of compliance framework in line with the Regulatory Requirements
* Ensuring compliance on an ongoing basis with the various Regulatory
Guidelines, Acts, etc
* To introduce and sustain good practices relating to the Compliance
framework.
* Ensuring that the regulatory requirements are complied with while reviewing
various policies, programs and various products & business processes
* To facilitate preventive measures for mitigating compliance risk resulting in
material financial loss or loss to reputation, for the Company.
* To introduce a healthy compliance culture within the Company so that
governing laws, rules, and regulations are effectively complied with

* Oversee, co-ordinate and monitor the day-to-day compliance activities of the
organization
* Ensuring timely dissemination of Regulatory guidelines highlighting the
aspects of the guidelines together with the action points emanating from the
guidelines
* Help Senior Management and the Audit Committee of Board (ACB) in recognizing
and mitigating the compliance risks in the Company.




* Keeping the senior management and concerned stakeholders updated on the current
circulars, amendments to existing circulars etc.
* Advising and assisting on compliance related aspects during new product
launches / changes in existing product lines.
* Timely resolution of queries raised by Internal stakeholders on compliance
related aspects wherever require
* Ensuring compliance with the company’s internal policies and procedures
* Testing of compliances as per periodicity mentioned in the Compliance Testing
Plan
* Conducting and facilitating AML Committee meeting and ensuring necessary
reporting requirements.
* Liasioning with Inspection team and co-ordinating with various stakeholders
across the Company during the Regulatory inspection for smooth conduct of the
inspection .
* Assisting various team / stakeholders in rectifying deficiency / implementing
recommendations of the regulator pointed in inspection.
* Attending

📌 Senior Manager (Mumbai)
🏢 Tata Capital
📍 Mumbai