Compliance Manager/Sr manager

Manager/Sr. Manager Compliance

DEPARTMENT:	Compliance
LOCATION:	Kurla, Mumbai

JOB OVERVIEW:

The incumbent will support the Compliance function by ensuring effective execution of regulatory compliance processes, governance frameworks, and regulatory reporting. The individual in this role will be responsible for managing compliance platforms, coordinating regulatory submissions, facilitating regulatory inspections and audits, and driving timely closure of compliance obligations across the organization.

ESSENTIAL SKILLS AND EXPERIENCE:

• 5 – 8 years of experience in Compliance, Regulatory Reporting within an NBFC, Bank, Housing Finance Company.
• Working knowledge of RBI regulations, regulatory reporting frameworks, RBI Daksh Portal, CIMS Portal, and compliance management systems.
• Experience in coordinating regulatory inspections and managing regulatory correspondence.
• Strong stakeholder management, analytical, and documentation skills.
• Proficiency in MS Excel, PowerPoint, and compliance automation tools.

KEY RESPONSIBILITIES:

• Manage end-to-end administration of compliance management systems (e.g., Komrisk), including compliance calendars, regulatory registers, obligation tracking, and compliance dashboards.
• Coordinate end-to-end compliance activities on the RBI Daksh Portal, including dissemination of regulatory circulars, implementation tracking, user administration, inspection response submissions, ad-hoc regulatory filings, and periodic user access reviews.
• Manage the RBI CIMS Portal, including user management, allocation of regulatory returns, and monitoring timely completion of submissions.
• Coordinate timely submission of all regulatory returns, filings, and statutory communications to regulators, ensuring adherence to prescribed timelines and quality standards.
• Facilitate RBI inspections, regulatory reviews, statutory audits, and internal audits by coordinating with business teams, collating information, and ensuring timely submission of responses.
• Track regulatory observations, inspection findings, and audit action points, working closely with stakeholders to ensure timely closure and compliance.
• Monitor implementation of new regulatory requirements and support dissemination of regulatory updates across relevant business and support functions.
• Prepare and maintain MIS and governance reports relating to regulatory correspondence, regulatory returns, compliance status, inspection observations, and action tracker for senior management.
• Ensure accuracy, completeness, and maintenance of compliance documentation, repositories, and regulatory records.
• Drive continuous improvement and automation initiatives for compliance processes, reporting, and regulatory tracking mechanisms.
• Liaise with internal stakeholders across business, operations, risk, legal, finance, and technology teams to ensure effective implementation of regulatory requirements.