- 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 new 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 to Internal Audit queries or requirements and defining IFC and ensuring compliance to their observations thereof.
- Development of training modules on various compliance related aspects. and onduct training sessions on compliance related aspects at appropriate forums

Qualifications & Experience:

- CA/CS/MBA finance
- 4-5 years of related experience in the compliance function with an NBFC or a Bank
- Practical and working knowledge of Regulatory compliances in NBFC / Banking sector
- Positive interpersonal skills with strong oral and written communication skills
- Strong analytical skills with an eye for details and controls
- Commitment and energy to work with a high growth paced and dynamic organization.

📌 Senior Manager - Compliance - Mumbai - Lower Parel (India)
🏢 Tata Capital
📍 India