Role & responsibilities

- Ensure timely submission of regulatory returns, statutory reports, regulatory intimations and other compliance-related filings in accordance with applicable laws, regulations and internal requirements.
- Support implementation and ongoing maintenance of KYC, AML and regulatory compliance frameworks, including policies, process notes, risk categorisation methodologies and related governance requirements.
- Execute compliance monitoring and testing activities as per approved compliance programs, track observations and support timely closure of identified issues.
- Support compliance risk assessment activities, including KYC & AML risk assessments, RCSA, KRIs and other risk management initiatives, and assist in preparation of reports and committee materials.
- Coordinate data collation, information submission, tracker maintenance and closure of action points arising from regulatory inspections, audits, reviews and examinations.
- Support implementation, administration, testing and enhancement of compliance-related systems, tools,



trackers and governance platforms to strengthen compliance oversight and monitoring.
- Prepare compliance MIS, dashboards, management reports and governance-related updates, and coordinate with internal stakeholders to facilitate implementation of regulatory and compliance requirements.
- Manage regulatory intimations and compliance requirements relating to opening, closure, shifting and maintenance of branches and other business locations.
- Extend support during regulatory inspections and maintain proper indenting of the pre and post inspection data flows for repository purpose
- Provide day-to-day operational and administrative support to the Compliance Head and assist in various compliance projects, initiatives and ad hoc assignments

Preferred candidate profile Minimum 4 Years of relevant experience into regulatory compliance within a NBFC, Bank or HFC.

📌 Compliance Manager (Mumbai)
🏢 SMFG India Credit
📍 Mumbai