 Developing and communicating policies related to regulatory compliances, AML/CFT/CPF & sanctions, compliance manuals and activities’ calendar for effective management of compliance function while making sure that the same are consistent with applicable local and international laws and regulatory frameworks.
 Monitoring the multifaceted compliance sub functions including transaction monitoring and advisory, regulatory reporting, coordination with LEAs, staff training, AML/CFT/CPF reviews, record management etc.
 Risk management by assessing risks that may exist at various level of organizational functioning and suggesting measures to mitigate those risks.  Conducting due diligence/onboarding of affiliates, business partners and 3rd parties by gauging the risk they may pose with respect to AML/CFT/CPF and sanctions regime.
 Leading the investigations for any incidents of violations of regulatory requirements or as assigned for fraudulent or special cases.
 Performing secretarial tasks being secretary to the Board Compliance Committee.

While reporting to Board Audit Committee (BAC), the tasks being performed include
-Developing risk based Internal Audit Plan for the organization, keeping in view the organizational objectives and prescribed reporting framework.
-Reviewing compliance of the AML/CFT related laws, rules, regulations, notifications, etc.
-Making sure smooth execution of Internal Audit Plan by adopting appropriate audit procedures in accordance with Internal Auditing Standards and practices.
-Ensuring that the internal controls system (including IT controls) is properly being adopted and implemented by management of the company and is sufficient to ensure safeguarding of assets and mitigating risks posed to the entity.
-Coordinating with various reporting entities, regulatory bodies, external auditors, other stakeholders, etc.
-Being vigilant to the risk of any fraudulent activities being conducted.
-Providing guidelines and support for resolving the audit and compliance related matters.