Assistant Vice President Business Compliance
- AU Small Finance Bank
- 7 - 10 years
- Mumbai
- 14 days ago
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Job Description
Assistant Vice President Business Compliance:Role Title:
Assistant Vice President Business Compliance
Function:
Compliance / Regulatory Compliance
Location:
Corporate Office
Reporting To:
Vice President- Compliance
Role Purpose:
To ensure effective dissemination of regulatory and internalcirculars and conduct robust compliance testing across business functions toensure adherence to RBI guidelines and internal policies, while identifying andmitigating compliance risks.
Key Responsibilities:
1. Circular Dissemination
Review, interpret, and disseminate RBI/regulatory/internalcircular s to relevant stakeholders
Highlight key changes, business impact, and action points
Track implementation and adherence across business units
2. Compliance Testing & Monitoring
Design and execute compliance testing frameworks acrossfunctions
Conduct periodic reviews to assess adherence to regulatory and internalpolicies
Identify control gaps, deviations, and areas for improvement
3. Gap Identification & Closure
Highlight compliance gaps and regulatory deviations
Coordinate with stakeholders for timely closure of observations
Track audit findings and compliance testing issues
4. Regulatory Advisory
Provide guidance to business teams on regulatoryrequirements and circulars
Ensure proper interpretation and implementation of compliance norms
5. Reporting & Governance
Prepare compliance reports, dashboards, and status updatesfor senior management
Maintain documentation and audit trails for all compliance activities
6. Stakeholder Management
Liaise with business, risk, audit, and operations teams
Support regulatory inspections and audit queries
Key Deliverables / KRAs:
Timely dissemination and effective implementation ofcirculars
Strong compliance testing framework with minimal deviations
Timely closure of compliance observations
Improved adherence to regulatory and internal policies
Required Qualifications & Experience:
Qualification: CA / MBA / LLB or equivalent
Experience: 812 years in BFSI/NBFC compliance
Strong understanding of RBI regulations and compliance frameworks
Key Skills & Competencies:
Regulatory interpretation and analytical skills
Strong attention to detail
Effective communication and stakeholder management
Risk assessment and problem-solving ability
Job Classification
Industry: BankingFunctional Area / Department: BFSI, Investments & TradingRole Category: Investment Banking, Private Equity & VCRole: Principal / Partner / DirectorEmployement Type: Full timeContact Details:
Company: AU Small Finance BankLocation(s): Mumbai
Keyskills: aml nbfc analytical software testing regression testing internal control automation testing manual testing smoke testing auditing internal audit functional testing framework bfsi stakeholder management compliance regulations rbi compliance testing communication skills
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