Our client a listed Finance Company needs -

Post : Compliance Head

Reporting to : Managing Director

Location : Andheri W, Mumbai

Experience : Min 5 years

Qualification : CS / LLB / CA Compliance Specialist

Salary : 25 LPA

Role To Ensure our client is in full compliance with RBI regulations, the Companies Act, SEBI LODR, applicable NBFC guidelines AML / PMLA norms and corporate-governance standards while building robust compliance systems, SOPs and a strong compliance culture across the organisation.

Job Profile

Regulatory Compliance & RBI Returns

- Ensure 100% accurate and on-time filing of all RBI returns, statutory reports and event-based submissions.
- Own and maintain the enterprise compliance calendar and makerchecker review discipline; close regulatory observations sustainably.
- Safeguard CKYC / KYC operational integrity across PAN, Aadhaar and document-verification workflows.

Corporate & Secretarial Compliance (Listed Entity)

- Oversee Board and Committee governance notices, agendas, board notes, resolutions and minutes.
- Ensure on-time ROC, SEBI LODR and stock-exchange filings, and maintain statutory registers and secretarial records.

AML / PMLA & Financial-Crime Compliance

- Design,implement and continuously strengthen the AML / PMLA framework; ensure timely STR / CTR filings and insider-trading controls.
- Drive annual AML, ethics and compliance training across the organisation.

Monitoring, Risk & Governance

- Proactively identify regulatory and compliance risks and ensure high-risk gaps are remediated promptly.
- Present a monthly compliance dashboard to the MD and senior management; ensure CERSAI and security-interest compliance across the secured portfolio.

Regulatory & Board Stakeholder Management

- Act as the primary interface with RBI, SEBI,



ROC and other regulators; lead inspection readiness and drive prevention of repeat observations.
- Prepare and present materials to the Board Audit / Compliance Committee.

Leadership, Culture & Team

- Build a robust compliance culture and a zero-tolerance stance on shortcuts and ethical breaches; lead, mentor and retain a capable team

Experience & Knowledge

- Listed-entity secretarial compliance experience (SEBI LODR, ROC, stock-exchange filings) strongly preferred.
- Strong grounding in RBI Master Directions & NBFC regulations (incl. Scale Based Regulation), Companies Act 2013, AML/PMLA, FIU-IND reporting, CKYC and CERSAI.
- Progressive compliance experience within NBFC / BFSI with hands-on ownership of RBI regulatory filings

Candidate Profile

Qualifications

- Company Secretary (CS), LLB or Chartered Accountant (CA) a recognised compliance-specialist qualification is essential.
- Additional certifications in AML / compliance / corporate governance are an advantage.

Leadership & Behavioural Competencies

- Ownership & Accountability takes visible personal ownership of outcomes without deflection.
- Communication, Influence & Executive Presence communicates with context and rationale; a calm, credible presence.
- Resilience & Leading Through Change maintains composure under regulatory pressure and steadies the team through change.
- Ethical Conduct & Integrity upholds the highest standards and champions a zero-tolerance culture for shortcuts.

For all other jobs, pls check our website www.jobspothr.com Email CV to [email protected] with current salary and notice period. Pls mention in your cv your Date of Birth and current location in Mumbai

After mailing CV please call 99877 06721 / 91 84548 83875 / 98191 56570 / 83697 08611 between 10.30am to 7.30pm.

Good Luck !

Rgds

Jobspot HR Services www.jobspot HR Services

📌 Compliance Head : Andheri W, Mumbai : Sal 25LPA : Sat / Sun off
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