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