Compliance Officer

Job opening for the Compliance Officer role in a Leading NBFC at Mumbai.

Role

Location

Working Days

Work Mode

Note: We are considering candidates who are available to join immediately or within a maximum notice period of 30 days.

Roles & Responsibilities:

RBI and SEBI regulations

Key Responsibilities

Regulatory Monitoring & Implementation

• Continuously track and evaluate regulatory updates relevant to the organization.
• Assess the impact of regulatory changes on policies and business processes.
• Disseminate updates to senior management and ensure timely implementation.

Compliance Advisory & Governance

• Ensure strict adherence to RBI and SEBI guidelines.
• Provide compliance advisory to business teams on loan proposals and related matters.
• Present compliance updates and key issues to the Board and board committees.

Reporting & Communication

• Prepare and submit periodic returns to RBI and other regulators.
• Act as the single point of contact for regulatory queries and clarifications.
• Coordinate with group entities to share compliance updates and submit data.

Testing & Review

• Develop and implement the annual compliance testing plan.
• Report significant compliance lapses to the Audit Committee and senior leadership.
• Conduct regular compliance reviews and test internal controls across departments.

Audit & Inspection Management

• Lead annual RBI inspections, statutory and internal audits, and other regulatory reviews.
• Ensure audit readiness, effective participation, and timely closure of audit findings.

Legal

• Handle legal matters including contracts, compliance, litigation, and regulatory affairs.

Qualifications & Skills:

• Bachelors or Master’s degree in Law, Finance, or related field.
• 7–13 years of experience in regulatory compliance, preferably in banking or NBFC sector.
• Strong understanding of RBI and SEBI regulations and financial compliance frameworks.
• Excellent communication, analytical, and stakeholder management skills.
• Experience in handling audits, inspections, and board-level presentations.

Preferred Attributes:

• Certification in Compliance, Risk Management, or related areas.
• Experience in policy drafting and governance.
• Familiarity with compliance systems and automation tools.

Note: We are considering candidates who are available to join immediately or within a maximum notice period of 30 days.

#ComplianceOfficer #RegulatoryCompliance #RBICompliance #SEBICompliance #NBFCCompliance #Risk&Compliance #Audit&Compliance #Legal&Compliance #ComplianceManager #StatutoryCompliance #RBIRegulations #SEBIRegulations #RegulatoryReporting #ComplianceTesting #ComplianceGovernance #InternalAudit #StatutoryAudit #PolicyGovernance #AuditManagement #RBIInspection #SEBIGuidelines #BFSICompliance #LitigationManagement

#RegulatoryCommunication #InternalControls #ComplianceReviews #ComplianceMonitoring