Deputy Unit Manager - Compliance
Bajaj Finance Limited
Full-time
On-site
Pune, Maharashtra, India
| 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 |
| Required Qualifications and Experience | Work Experience & Skills • 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 Educational Qualifications • Chartered Accountant / Company Secretary / Law Graduate / MBA (Finance) |