Job
Description
Job Description
Job Title: Compliance Advisory Manager
Department: Compliance & Risk Management
Reporting To: Head – Compliance / Chief Compliance Officer
Job Purpose To support the business by providing regulatory compliance advisory services, ensuring effective control frameworks, and maintaining adherence to all relevant laws, regulations, internal codes, and policies. This role plays a pivotal part in safeguarding the organization against compliance risks while enabling sustainable business growth.
Key Responsibilities
Business Advisory & Compliance Oversight
Provide advisory services to business teams to ensure a clear understanding of compliance risk exposures related to clients, products, and transactions.
Disseminate regulatory guidelines across business and support functions and provide continuous advisory support.
Act as an independent and trusted advisor in governance forums, issue management, and compliance culture building.
Regulatory Compliance Management
Ensure the company complies with all applicable NBFC and financial sector regulatory guidelines.
Identify compliance risks in existing and new products/processes and recommend risk mitigants.
Oversee critical compliance policies, systems, and frameworks impacting the NBFC.
Ensure the organization’s exposure to regulatory compliance is managed effectively, balancing commercial sensitivity with regulatory obligations.
Risk Stewardship & Control Framework
Exercise risk steward challenge by critically reviewing risk and control practices.
Partner with business and risk owners to ensure robust controls and effective governance.
Support issue management and remediation to maintain regulatory integrity.
Regulatory Liaison & Market Practices
Maintain a strong understanding of regulatory expectations and best practices in the NBFC/banking industry.
Engage with regulatory agencies during inspections, audits, and reviews.
Provide expert guidance on banking and NBFC regulations to senior management.
Training & Awareness
Collaborate with the training team to develop and deliver compliance training programs.
Promote compliance awareness and reinforce adherence to regulatory policies and processes.
Candidate Profile Education: CA/CS/LLB/MBA (Finance/Risk/Compliance) or equivalent qualification.
Experience: 8–12 years of experience in Compliance, Risk Management, or Regulatory Advisory within NBFCs, Banks, or Financial Services.
Strong knowledge of RBI guidelines, NBFC compliance framework, AML/KYC norms, Companies Act, FEMA, and other relevant regulations.
Prior experience in engaging with regulators (RBI/SEBI/NHB etc.) preferred.
Excellent analytical, advisory, and communication skills with the ability to influence senior stakeholders.
Proven ability to design, implement, and monitor compliance frameworks.
Key Competencies Regulatory & Compliance Expertise
Risk Assessment & Mitigation
Stakeholder Management
Advisory & Governance Skills
Training & Awareness Building
Strategic Thinking with Practical Execution
