Role description
Job Title: Senior Manager / Assistant Vice President – Compliance
Department: Compliance
Location: Worli
Reports to: [DVP – Compliance]
Experience: 5 - 8 years (NBFC / Bank / Financial Services – Compliance, Regulatory Interaction, Audit, Inspection Support)

Job Summary
To lead and manage the NBFC’s preparedness for RBI supervisory inspections, thematic reviews, and information requests. The role is responsible for maintaining the RBI Dossier, coordinating cross‑functional responses, ensuring high‑quality and timely submissions, and acting as the central anchor for all regulator correspondences, observations, and compliance actions.

The role ensures first‑time‑right responses, audit‑ready documentation, and zero slippages in regulatory communication.

Key Responsibilities
1. RBI Inspection Readiness & On‑Site/Off‑Site Support
• Maintain a comprehensive RBI Inspection tracker including organisational profile, financials, governance details, policies, returns index, and historical observations.
• Plan, coordinate,



and manage in office and off-site RBI inspection activities end‑to‑end.
• Map documents, processes, and systems for easy retrieval during supervisory examinations.

2. Regulatory Correspondence Management
• Act as the single point of contact for RBI queries, clarifications.
• Prepare, review, and submit high-quality, accurate, and consistent responses within stipulated timelines.
• Maintain a Correspondence Tracker with details of queries, owners, timelines, status, and evidence submitted.

3. Observation Management (RBI / Internal Audit / Statutory Audit)
• Maintain an Observations & Action Tracker for RBI, Internal Audit, Statutory Audit, and other regulatory bodies.
• Coordinate with control owners to drive time-bound closures with adequate evidence.
• Conduct root-cause analysis (RCA) and track progress.
• Report status to CCO, ExCom, and Board committees.

4. Cross-Functional Coordination & Governance
• Liaise with Finance, Credit, Risk

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