Compliance Manager

Location

Gurgaon / Gurugram

Function

Compliance &

Regulatory Affairs

Experience

7–12 years

Industry

NBFC / MFI / Banking / Financial Services

ROLE SUMMARY

Support the CCO in managing regulatory compliance framework, ensuring adherence to RBI and statutory requirements across lending, operations, branches, KYC/AML, collections and customer protection. Drive compliance monitoring, regulatory reporting, issue remediation and regulatory readiness.

KEY RESPONSIBILITIES

- Track and interpret applicable RBI regulations, circulars and statutory requirements; maintain the compliance register and calendar.
- Conduct compliance monitoring and testing across Credit, Operations, Collections, Branches, Customer Service, outsourcing and digital processes.
- Monitor KYC/AML/CFT, PMLA-related requirements, Fair Practices Code, customer protection, grievance redressal and collection practices.
- Support regulatory returns, RBI inspections, supervisory reviews and responses to regulatory queries.
- Maintain compliance dashboards, exception trackers and remediation status for the CCO and management.
- Monitor branch-level compliance and identify recurring/systemic gaps.
- Support development and review of compliance policies, SOPs and regulatory implementation plans.
- Conduct compliance awareness/training and maintain supporting evidence.
- Coordinate with Internal Audit and Statutory Audit on compliance matters while maintaining Internal Audit independence.

KEY DELIVERABLES / KPIs





- Timely closure of regulatory and compliance obligations
- Accurate and timely regulatory reporting
- Completion of planned compliance testing
- Timely escalation and closure of material exceptions
- Branch compliance coverage and reduction in repeat exceptions
- Reduction in material KYC/AML exceptions
- Accurate monthly/quarterly compliance MIS

CANDIDATE PROFILE

7–12 years of relevant experience in an NBFC, NBFC-MFI, Bank, HFC, Fintech or regulated financial services organisation, with hands-on experience in RBI/NBFC compliance and lending operations.

- Graduate/Postgraduate in Commerce, Finance, Law or Management; CA/CS/LLB/MBA/Compliance certification preferred.
- Strong knowledge of RBI/NBFC regulations, KYC/AML/CFT and customer protection.
- Exposure to secured/unsecured or MSME lending, branch compliance, collections and regulatory audits/inspections preferred.
- Robust analytical, documentation, stakeholder management and communication skills; high integrity and professional judgement.

IDEAL CANDIDATE

Compliance Manager / Regulatory Compliance Manager / Deputy Manager – Compliance from an NBFC, MFI, Bank, HFC or fintech, with strong hands-on exposure to RBI regulations, lending operations, KYC/AML and compliance monitoring, and the ability to translate regulatory requirements into practical operating controls. Gurgaon / Delhi-NCR|Reporting: CCO / Head – Compliance|Role Level: Manager / Senior Manager

📌 Compliance Manager (Gurugram)
🏢 Ghrig People Solutions
📍 Gurugram