Compliance Officer-Vile Parle Full-time Job1 year ago - NBFC - Mumbai - 105 views
· 0-2 Years of prior experience in RegulatoryCompliances for NHB/RBI
·Good understanding of AML/ KYC Regulations
·Have knowledge of Tally 9.0/ Accounts knowledge
·Prior experience of handling onsite inspection(Regulatory, Non Regulatory).
·Prior experience on Regulatory communicationcompliance monitoring.
·Review policies and process notes
·Prepare checklist and FAQs for various businessgroups.
·MBA Freshers can be considered.
Key Roles Responsibilities:
·Filing of returns reports with Regulators
·Conducting due diligence (AML checks riskcategorization) on the borrower, its beneficial owners, guarantors and otherparties to the transaction
·Compilation of compliance findings/ audit findings andfollow up for audit observations closure
·Tracking implementation progress of action plans ofremediation actions/ process improvement/ potential issues in the processes.
·Coordinating with the departments for the informationpertaining to loan transactions
·Maintaining records/ documents pertaining tocorrespondences with regulators
·Informing, educating, and training employees onmatters that are associated with regulations and industry practices
·Keep abreast of regulatory developments within oroutside of the organization as well as evolving best practices in compliancecontrol
·Revise procedures, reports etc. periodically toidentify hidden risks or non-conformity issues & Assess the business futureventures to identify possible compliance risks
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