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Business Compliance Manager

Yubi

Yubi

Legal
Posted on Friday, September 1, 2023

About us

Yubi stands for ubiquitous. But Yubi will also stand for transparency, collaboration, and the power of possibility.

From being a disruptor in India’s debt market to marching towards global corporate markets from one product to one holistic product suite with seven products

Yubi is the place to unleash potential. Freedom, not fear. Avenues, not roadblocks. Opportunity, not obstacles.

Job Description

Yubi, formerly known as CredAvenue, is re-defining global debt markets by freeing the flow of finance between borrowers, lenders, and investors. We are the world's possibility platform for the discovery, investment, fulfillment, and collection of any debt solution. At Yubi, opportunities are plenty and we equip you with tools to seize it.

In March 2022, we became India's fastest fintech and most impactful startup to join the unicorn club with a Series B fundraising round of $137 million.

In 2020, we began our journey with a vision of transforming and deepening the global institutional debt market through technology. Our two-sided debt marketplace helps institutional and HNI investors find the widest network of corporate borrowers and debt products on one side and helps corporates to discover investors and access debt capital efficiently on the other side. Switching between platforms is easy, which means investors can lend, invest and trade bonds - all in one place. All of our platforms shake up the traditional debt ecosystem and offer new ways of digital finance.


Yubi Credit Marketplace - With the largest selection of lenders on one platform, our credit marketplace helps enterprises partner with lenders of their choice for any and all capital requirements.
Yubi Invest - Fixed income securities platform for wealth managers & financial advisors to channel client investments in fixed income 
Financial Services Platform - Designed for financial institutions to manage co-lending partnerships & asset based securitization
Spocto - Debt recovery & risk mitigation platform
Corpository - Dedicated SaaS solutions platform powered by Decision-grade data, Analytics, Pattern Identifications, Early Warning Signals and Predictions to Lenders, Investors and Business Enterprises

So far, we have on-boarded over 17000+ enterprises, 6200+ investors & lenders and have facilitated debt volumes of over INR 1,40,000 crore.

Backed by marquee investors like Insight Partners, B Capital Group, Dragoneer, Sequoia Capital, LightSpeed and Lightrock, we are the only-of-its-kind debt platform globally, revolutionizing the segment.

At Yubi, People are at the core of the business and our most valuable assets. Yubi is constantly growing, with 1000+ like-minded individuals today, who are changing the way people perceive debt. We are a fun bunch who are highly motivated and driven to create a purposeful impact. Come, join the club to be a part of our epic growth story.

About Role:
Business compliance Managers Business compliance managers are responsible for ensuring that a company adheres to relevant laws, regulations, and industry standards to operate ethically and within legal boundaries. Their role is crucial in preventing legal issues, regulatory violations, and reputational damage.
Developing and Implementing Compliance Programs:
● Design and implement comprehensive compliance programs tailored to the company's industry and regulatory environment and client’s requirements.
● Establish policies, procedures, and guidelines to ensure adherence to relevant laws, regulations, and industry standards. Monitoring and Assessing Compliance:
● Regularly monitor business activities, transactions, and practices to identify potential compliance issues.
● Conduct internal audits and assessments to evaluate the effectiveness of the compliance program.
● Identify gaps and areas of improvement in existing compliance measures.
● Provide training to call center staff on compliance issues.
● Investigate and resolve compliance-related incidents or violations.
● Collaborate with other departments to ensure consistent adherence to compliance requirements. Regulatory Research and Interpretation:
● Stay up-to-date with relevant laws, regulations, and industry trends that could impact the company's operations.
● Interpret complex regulatory requirements and communicate their implications to various departments within the organization. Training and Education:
● Develop and deliver training programs to educate employees about compliance policies, regulations, and ethical standards.
● Raise awareness about compliance issues and foster a culture of compliance throughout the organization. Reporting and Documentation:
● Maintain accurate records of compliance activities, assessments, and audit findings.
● Prepare reports for management and regulatory agencies, detailing the company's compliance status and any corrective actions taken.
● Generate reports and presentations on call center compliance performance for senior management and regulatory authorities. Highlight areas of concern and recommend solutions. Risk Assessment and Management:
● Identify potential compliance risks and assess their impact on the company's operations.
● Develop strategies to mitigate risks and implement controls to prevent violations. Collaboration and Communication:
● Collaborate with legal teams, regulatory agencies, and other stakeholders to address compliance concerns.
● Communicate compliance requirements to relevant departments and ensure they understand and implement necessary measures. Incident Response and Resolution:
● Investigate reported compliance violations, unethical behavior, or breaches of policies.
● Develop and execute corrective action plans to address identified issues and prevent recurrence. Ethics and Integrity Promotion:
● Promote a culture of ethics and integrity within the organization by setting an example and encouraging ethical behavior at all levels. Advisory Role:
● Provide guidance and advice to management and employees on compliance matters and ethical dilemmas. Continuous Improvement:
● Continuously assess and update the compliance program to align with changing regulations and industry best practices. Third-Party Relationships:
● Evaluate compliance of third-party vendors, contractors, and partners to ensure their operations align with the company's standards. Assess and monitor third-party vendors that provide services to the call center, ensuring their practices align with compliance requirements and ethical standards. Call Monitoring:
● Implement systems and processes to monitor calls for compliance with regulations, quality standards, and customer experience guidelines. Provide feedback and coaching to call center staff to maintain compliance and service excellence. Data Protection:
● Ensure that call center operations involving customer data collection, storage, and processing adhere to data privacy regulations. Collaborate with data protection teams to implement necessary measures

Requirements

Educations and Skills:
● A bachelor's degree in a relevant field such as Business Administration, Law, Finance, Accounting, or a related discipline is often required.
● A few years of relevant professional experience in compliance, risk management, legal, auditing, or a related field is typically required. The exact number of years can vary based on the company's needs.
● Previous experience in a compliance role or a related area demonstrates a strong understanding of compliance principles and practices.
● Strong analytical skills to assess complex regulations, interpret legal documents, and identify potential compliance risks.
● Excellent communication skills to convey compliance requirements, policies, and procedures to various levels of the organization.
● Strong understanding of call center operations and relevant regulations.

Benefits

We are committed to creating a diverse environment and are proud to be an equal opportunity employer. All qualified applicants receive consideration for employment without regard to race, colour, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, or age.