Key Responsibilities:
Regulatory Compliance: Ensure full compliance with RBI regulations for Middle Layer
NBFCs, including reporting requirements, audits, and adherence to the applicable laws.
Policy Implementation: Develop, implement, and update internal compliance (all
relevant) policies and procedures to align with regulatory and company standards.
Risk Management: Identify potential compliance risks and take preventive measures to
mitigate them.
Audit Coordination: Liaise with internal and external auditors to conduct periodic
compliance audits and address any discrepancies or non-conformance issues.
Monitoring: Oversee the monitoring of business activities to ensure compliance with all
relevant laws, regulations, and company policies.
Reporting: Prepare and submit timely reports to regulatory authorities, including filings
with RBI and other regulatory bodies.
Training & Development: Conduct training sessions for employees to increase awareness
of compliance protocols and regulatory updates.
Regulatory Liaison:
Act as the primary point of contact for all regulatory authorities,
including RBI and other regulatory bodies.
Documentation: Maintain updated records and documentation of all compliance-related
activities and correspondence as per the requirement of RBI and Companies Act.
Qualifications:
Bachelor's or Master's degree in Commerce, Accounts & Finance, Company Secretary, or
a related field.
Minimum of 5-7 years of experience in a compliance role, preferably in an NBFC. Solid knowledge of RBI regulations for Middle layer NBFC, financial industry laws, and
other relevant regulatory bodies.
- Excellent communication, analytical, and problem-solving skills.
- Ability to manage a team and work collaboratively with other departments.
- Proven track record of working with regulatory authorities and handling audits.
Industry Type: Investment and Trading in Share & Securities (NBFC) experience
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