Deputy Unit Manager - Compliance

Location Name: Pune Corporate Office - PTP

Job Purpose

Perform LHS-RHS activity with respective stakeholders including COEs, Business Compliance and horizontal support functions.

Closely work with CDI and CMT teams within compliance.

Validate and confirm closure of LHS-RHS response in compliance system.

Duties And Responsibilities

Roles & Responsibilities for LHS RHS Unit are as under:

•  Obtaining regular updates for new Regulatory Guidelines - Circular / Master Direction from related regulators (RBI, CKYCR, NPCI etc.)
•  Creation of checkpoints for verification of the regulatory requirement mentioned in guidelines for product / vertical as per schedule
•  Discussing & confirming checkpoints and FPR names with concerned team members – COE Teams / Business Teams / Business Compliance Teams
•  Uploading checkpoints in ‘Compliance Tool’ along with names provided by COE Teams / Business Teams
•  Tracking for responses against checkpoints uploaded in tool
•  Validating and closing actionable provided by FPRs
•  Obtaining Action Plan for checkpoint mentioned as ‘Non Complied’ by COE Teams / Business Teams
•  Maintaining ongoing tracking for action responses, closures, action updates
•  Providing updates during monthly meeting scheduled with Business / Business Compliance Teams / SMTs
•  Connecting with and getting regular updated from respective Business teams for assigned Products / Circulars
•  Preparation of monthly Decks, Trackers, Assisting Team for other ad hoc regulatory requirement
  
  
  

•  2 years of relevant work experience. However, exceptional candidates without prior experience may also be considered.
•  Strong ability to interpret and apply regulatory guidelines.
•  The role requires extensive reading and comprehension of regulatory material.
•  Must be capable of discussing and clearly explaining guideline requirements to process owners
  
  
  

•  Chartered Accountant / Company Secretary / Law Graduate / MBA (Finance)