Compliance Executive Job in Auxilo Finserve

Position: Compliance Executive

Location: Mumbai

Qualification: Graduate

Experience: 0 to 2 years

Job Description:

As a Compliance Executive, you will play a key role in supporting the compliance function within the organization. You will assist in maintaining regulatory adherence, supporting internal policy development, and ensuring that all compliance activities are efficiently tracked and documented.

Key Responsibilities:

• Regulatory Compliance:
  • Track and maintain an updated repository of RBI circulars, notifications, and guidelines that affect NBFCs.
  • Assist in managing compliance checklists and ensure adherence to internal and regulatory timelines.
• Monitoring & Reporting:
  • Support compliance testing efforts and help identify any gaps or deviations in compliance practices.
  • Prepare and assist in generating compliance status reports and dashboards for internal review.
  • Draft and maintain periodic compliance notes and reports.
• Policy & Documentation Support:
  • Help in drafting, reviewing, and updating policies, Standard Operating Procedures (SOPs), and compliance manuals.
  • Ensure all compliance-related documents are kept up to date.
• RBI Correspondence:
  • Assist the Chief Compliance Officer (CCO) in compiling data and preparing documentation for RBI queries, inspections, and supervisory visits.
  • Coordinate internally to gather data for compliance submissions and ensure timely follow-ups.
• Training & Awareness:
  • Support compliance awareness programs across departments by helping organize training sessions and facilitating internal communications regarding compliance updates.

Key Qualifications & Skills:

• Basic understanding of RBI regulations relevant to NBFCs.
• Proficiency in MS Excel, Word, and PowerPoint for handling data and preparing reports.
• Strong attention to detail, particularly in documentation and follow-ups.
• Good communication skills and the ability to analyze compliance-related issues effectively.