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 positive 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 recent 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