Senior Manager - Compliance

Clix Capital · Gurgaon

Source and collection record

Last observed by our collector: 8 October 2026 at 11:15 pm IST. This is not a manual review or a confirmation from the employer.

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Collected role description

<table class="MsoNormalTable" border="0" cellspacing="0" cellpadding="0" width="0" style="width: 476.5pt;"> <tbody><tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:0;mso-yfti-firstrow:yes;height:15.0pt"> <td width="197" valign="top" style="width:148.0pt;border:solid windowtext 1.0pt; padding:0in 5.4pt 0in 5.4pt;height:15.0pt"> KRA<o:p></o:p> </td> <td width="438" valign="top" style="width: 328.5pt; border-top: 1pt solid windowtext; border-right: 1pt solid windowtext; border-bottom: 1pt solid windowtext; border-image: initial; border-left-width: initial; border-left-color: initial; padding: 0in 5.4pt; height: 15pt;"> Description<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:1;height:14.5pt"> <td width="197" rowspan="31" valign="top" style="width: 148pt; border-top-width: initial; border-top-color: initial; border-left: 1pt solid windowtext; border-bottom: 1pt solid black; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Governance and Monitoring <o:p></o:p> </td> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Identifying, addressing, reporting and supporting to Chief Compliance Officer on regulatory compliance issues<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:2;height:14.5pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;">  <o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:3;height:28.0pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 28pt;"> Ensuring various stakeholders to stay abreast with applicable regulatory standards via prompt communication of new/amended regulations, and tracking Implementation of the same<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:4;height:14.5pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Detailed MIS of applicable regulation is prepared, circulated, and tracked till implementation<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:5;height:14.5pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Training/ meetings conducted with relevant stakeholders to discuss challenges/ progress<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:6;height:19.0pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 19pt;">  <o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:7;height:14.5pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Ensuring timely Regulatory Reporting to RBI, NHB, etc. (250+)<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:8;height:14.5pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Preparing detailed monthly MIS for applicable and due filings – regulator wise<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:9;height:14.5pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Circulation of checklist with various functions<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:10;height:14.5pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Ensuring timely filing by the teams on respective due dates<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:11;height:14.5pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Escalation to CXO / CCO in case of any challenge<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:12;height:14.5pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Preparing MIS for completed filings with reason of delay (if any), and circulation of the same with CCO, and other stakeholders<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:13;height:15.0pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 15pt;">  <o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:14;height:14.5pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Ensuring S&E/ Trade License registration/ renewal in time (~ 20 p.a.)<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:15;height:14.5pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Coordinating with Admin team to collate the required documents and submission with SGC<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:16;height:14.5pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Tracking pending renewals/ closure/ new applications<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:17;height:14.5pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Display compliance checklist and tracking implementation<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:18;height:14.5pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Escalation in case of any challenge<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:19;height:14.5pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Invoice review, approval by CXO, and maintain MIS<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:20;height:14.5pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;">  <o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:21;height:14.5pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Review of Customer Communications/ Scripts from regulatory compliance perspective<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:22;height:14.5pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Including all new/updated SMS/emails, consents, loan documentation etc. which are implemented in existing or any product/ partnerships<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:23;height:19.0pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 19pt;">  <o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:24;height:14.5pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Maintain repository of all regulatory correspondences - year, subject and folder wise<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:25;height:19.0pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 19pt;">  <o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:26;height:14.5pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Conduct monthly Suspicious Activity Review Committee meetings for effective transaction monitoring<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:27;height:14.5pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Collating information from Operations, Collections, other functions<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:28;height:14.5pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Preparing deck, and minutes of the meeting<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:29;height:14.5pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Escalation of issues (if any) to relevant stakeholders<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:30;height:14.5pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Tracking closure of open issues<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:31;height:15.0pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-top-color: initial; border-left-width: initial; border-left-color: initial; border-bottom: 1pt solid windowtext; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 15pt;"> Reporting to regulator, if required<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:32;height:14.5pt"> <td width="197" rowspan="3" valign="top" style="width: 148pt; border-top-width: initial; border-top-color: initial; border-left: 1pt solid windowtext; border-bottom: 1pt solid black; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Policy & Procedures <o:p></o:p> </td> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Ensuring Annual Review/renewal of policies by policy owners, and approval by the Board<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:33;height:14.5pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Drafting/ amendment of Compliance related policies as per extant regulations<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:34;height:15.0pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-top-color: initial; border-left-width: initial; border-left-color: initial; border-bottom: 1pt solid windowtext; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 15pt;"> Review of policies from Compliance perspective, wherever applicable<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:35;height:14.5pt"> <td width="197" rowspan="2" valign="top" style="width: 148pt; border-top-width: initial; border-top-color: initial; border-left: 1pt solid windowtext; border-bottom: 1pt solid black; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Employee Training & Communication<o:p></o:p> </td> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Strengthen the Compliance training program to focus on key risk areas (like AML, FPC, etc.)<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:36;height:15.0pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-top-color: initial; border-left-width: initial; border-left-color: initial; border-bottom: 1pt solid windowtext; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 15pt;"> Periodic updates to the employees via emails/ screen display<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:37;height:14.5pt"> <td width="197" rowspan="10" valign="top" style="width: 148pt; border-top-width: initial; border-top-color: initial; border-left: 1pt solid windowtext; border-bottom: 1pt solid black; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Listing Compliance<o:p></o:p> </td> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Ensuring SEBI/NSE related compliance w.r.t to fund raising via Non-convertible Debentures and Commercial Papers ( 14 active ISINs - 13 NCD and 1 CP)<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:38;height:14.5pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Review of issue timelines<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:39;height:14.5pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Setting up issue on EBP platform<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:40;height:14.5pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> NSE announcement for issue of securities<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:41;height:14.5pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Bidding on EBP platform, and acceptance<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:42;height:14.5pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Settlement on EBP platform<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:43;height:14.5pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Listing fee payments<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:44;height:14.5pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Ensuring Allotment, PAS-3 filing<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:45;height:14.5pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Final listing application submission<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:46;height:15.0pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-top-color: initial; border-left-width: initial; border-left-color: initial; border-bottom: 1pt solid windowtext; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 15pt;"> Periodic compliances<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:47;height:14.5pt"> <td width="197" rowspan="2" valign="top" style="width: 148pt; border-top-width: initial; border-top-color: initial; border-left: 1pt solid windowtext; border-bottom-width: initial; border-bottom-color: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> New Product/Partnership | Digitization<o:p></o:p> </td> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Support CCO towards implementation of a new technology/process/tool to automate the business processes<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:48;height:15.0pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-top-color: initial; border-left-width: initial; border-left-color: initial; border-bottom: 1pt solid windowtext; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 15pt;"> Detailed review of customer loan journey, and applicable documentation as per extant regulations<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:49;height:28.0pt"> <td width="197" rowspan="2" valign="top" style="width:148.0pt;border:solid windowtext 1.0pt; border-bottom:solid black 1.0pt;padding:0in 5.4pt 0in 5.4pt;height:28.0pt"> Enhance the Compliance Program<o:p></o:p> </td> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 28pt;"> Periodic review/ verification/ Assurance Testing to assess process/ program effectiveness and ongoing improvement with the policies/ SOPs of the company, and the extant regulations<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:50;height:15.0pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-top-color: initial; border-left-width: initial; border-left-color: initial; border-bottom: 1pt solid windowtext; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 15pt;"> Addressing concerns or questions w.r.t any regulation<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:51;height:14.5pt"> <td width="197" rowspan="3" valign="top" style="width: 148pt; border-top-width: initial; border-top-color: initial; border-left: 1pt solid windowtext; border-bottom: 1pt solid black; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Seamless Regulatory Relationships<o:p></o:p> </td> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Ensuring no substantial or material concerns from Regulator<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:52;height:14.5pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-bottom-width: initial; border-left-width: initial; border-top-color: initial; border-bottom-color: initial; border-left-color: initial; border-image: initial; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 14.5pt;"> Liaison with regulator to resolve any challenge faced by any internal stakeholder during applicable filings<o:p></o:p> </td> </tr> <tr table_type="formatted" style="border-left: 1px solid black !important;mso-yfti-irow:53;mso-yfti-lastrow:yes;height:15.0pt"> <td width="438" valign="top" style="width: 328.5pt; border-top-width: initial; border-top-color: initial; border-left-width: initial; border-left-color: initial; border-bottom: 1pt solid windowtext; border-right: 1pt solid windowtext; padding: 0in 5.4pt; height: 15pt;"> Ensuring timely fulfillment of ad-hoc data requirements of Regulators<o:p></o:p> </td> </tr> </tbody></table><o:p> </o:p>

Collected experience requirement

7 - 9 Years