62 Rbi Regulations Jobs - Page 3

As an Assistant Vice President/Head, you will be responsible for developing and maintaining regulatory policies and procedures under the Compliance Program. This includes implementing review mechanisms to ensure continuous effectiveness in ensuring all applicable compliances by the company and managing day-to-day operations of the compliances. You will collaborate with cross-functional teams to facilitate the implementation of compliance requirements at all levels/processes of the organization and direct compliance issues to respective functions for resolution. Your role will also involve ensuring compliance with statutory requirements and regulations prescribed for NBFC by RBI and all other applicable laws/policies. You should be capable of independently drafting compliance checklists, manuals, and other regulatory documentation such as Money laundering Risk assessment. Monitoring and highlighting alleged violations of RBI laws, rules, and regulations applicable to NBFCs will be part of your responsibilities, along with recommending procedures for corrective action. Maintaining and organizing compliance records in consonance with internal control and audit mechanisms will be crucial. You will establish and drive the implementation of Corporate Governance norms to ensure transparency across business operations. Building relations with the Registrar of Companies, Reserve Bank of India, and other statutory authorities while periodically providing returns/forms required by them will be essential. Additionally, you will assist in advising management on the legal and regulatory implications of proposed new initiatives of the Company. Understanding Capital Adequacy, SBL, GBL, customer complaints related Compliances, Fair Practices code, and AML will be important. You will need to help develop technology solutions to support various Compliance programs and disseminate Compliance and risk trainings and ongoing communications to drive the Company's culture of compliance. Your role will involve preparing notes for the Board on regulatory requirements, interpreting market practices on various Business compliance calls, attending and preparing replies to RBI inspection reports, and structuring drafts in terms of papers, compliance, and risk according to the business needs. Experience in managing RBI related regulations including Moratorium, Restructuring, and Credit Guarantee Schemes is desired. In terms of Internal Control, you will perform regular and comprehensive compliance reviews and Internal Control oversight. Overseeing and monitoring Control risks in line with Group standards and the local regulatory environment, identifying breaches, and suggesting/implementing mitigation measures will be part of your duties. You will also review and regularly update policies and procedures considering new regulations, including compliance manuals, and report incidents of control breaches to Management with required corrective actions. As for Legal and Regulatory aspects, you will act as the principal interface between the Bank and RBI on all banking matters. Managing relationships with regulators such as RBI, AML authorities, and obtaining approvals/licenses/certifications from regulatory bodies will be crucial. You will ensure legal/compliance diligence for new customers/vendors onboarding, protect the Bank's interest, vet and concur all product offerings, agreements, Loan documentation, contracts, Guarantees/LC drafts from a Compliance and AML perspective, and manage relationships with law firms and a network of lawyers. Handling Corporate Governance & Disclosures related compliance under Listing Regulations, implementing best practices within the organization, preparing minutes of various meetings, handling mergers/equity infusions/shareholders agreements, compliance with Listing Agreements, Labor Laws, and other laws will be part of your responsibilities. You will also liaise with Banks for settlements of Bad Debts/OTS, handle mergers/equity infusions, and prepare Annual General Meeting Notices, Directors Reports, and Empanelment forms with various banks and institutions. The additional requirements for this role include a 10% travel involvement, significant prioritization & team management skills, strong communication & presentation skills, a customer-based approach, co-leading process redesign & automation initiatives, and beneficial knowledge of best practices in the industry.,

Roles & Responsibilities: Compliance with RBI regulations to ensure no violations Develop and ongoing maintenance of ALM Policies and framework Dealing in SWAP, IRS, POS, Forward, and other Hedging instruments Handling Nostro Management and funding in the FX balance sheet Coordination for deposit, borrowing,g and managing relationships with internal and external departments Monitor and manage NOOP, AGL, VAR, and other regulatory limits Monitor FX borrowing /Lending cost in coordination with Finance and TBO Efficient management of Balance sheet /Liquidity Knowledge, Skills, and Experience: MBA/CA with 5+ years of experience Strong knowledge of FX Derivatives and products Strong quants and Excel orientation Excellent interpersonal, communication, and analytical skills with the ability to perform as a team player

Role & responsibilities Manage all aspects of accounting and finance operations Prepare and review financial statements and reports Handle regulatory reporting and compliance, including RBI filings Lead budgeting, forecasting, and variance analysis Monitor cash flow, fund management, and cost control Coordinate with auditors, banks, and statutory bodies Ensure proper documentation, processes, and internal controls Support business decisions with financial insights Preferred candidate profile Minimum 10 years of experience in finance and accounting At least 5 years of experience in NBFCs or related financial institutions M.Com or CA (Chartered Accountant) qualification is mandatory Sound knowledge of accounting standards, taxation, and NBFC compliance Strong communication and team leadership skills Hands-on experience with Prosper Accounting Software is a plus

Job Responsibilities: Leverage practical knowledge and experience in the operations of BFS segments such as PMS (Portfolio Management Services), Mutual Funds, AIF (Alternative Investment Funds), Wealth Management, and Offshore Funds. Analyze, compare, and quickly interpret complex facts and figures to make sound judgments and provide actionable insights. Lead and manage a team of at least 4-5 junior professionals, providing guidance, mentorship, and monitoring their daily deliverables. Take responsibility for the quality and timely delivery of all engagements within the financial services practice. Supervise engagements to ensure adherence to internal SOPs and methodologies, keeping them updated as necessary. Define and manage appropriate Key Performance Indicators (KPIs) to ensure work delivery aligns with stakeholder agreements. Strengthen the delivery capabilities of the practice by actively training and mentoring the team, ensuring adherence to professional practice requirements. Develop and release alerts and thought leadership articles at regular intervals to contribute to industry insights. Partner with Business Solutions resources to identify and implement process automation and efficiency-building initiatives. Build and maintain strong business relationships, acting as a direct report to Partners as required. Exercise accuracy and the ability to handle significant responsibility with limited supervision. Possess strong business understanding, systems, and computer skills. Be open to travel outstation for client engagements and business needs. Background & Skills: Proven working or audit experience in middle and back-office operations of Wealth Management Firms, Mutual Fund AMCs, AIF, Depository, or Capital Markets. Thorough knowledge and understanding of investments and securities . Must be abreast of the SEBI and RBI regulations applicable to the BFS segment (e.g., SEBI (Mutual Fund) Regulations, SEBI (Alternative Investment Funds) Regulations, RBI guidelines for financial services). Proven supervisory abilities and substantial people management experience. Ability to work independently in an autonomous work environment, demonstrating strong business judgment. Excellent oral and written communication skills . Well-developed interpersonal skills and professional maturity. Strong work ethic and a collaborative work approach. High attention to detail, accuracy, and quality. Knowledge of Wealth Spectrum / Miles software would be preferable. Core Competencies: Service Orientation: Committed to meeting internal and external customers evolving, long-term needs. Result Orientation: Directs efforts towards developing and implementing realistic action plans to meet business objectives with a sense of urgency. Initiative: Proactively identifies challenges and works towards their resolution, seeking opportunities for process improvements. Professionalism: Possesses in-depth functional knowledge, ethics, and integrity while conducting the job. Cooperation: Ensures task completion and extends support to team members, displaying joint ownership towards achieving business objectives. Communication/Feedback: Believes in providing and receiving feedback to enhance performance.

We are hiring for a Business Legal Manager role for Mumbai location. Job Description- As a Business legal manager, the Candidate will be part of Title due diligence team and attending to corporate legal matters of the company. The incumbent shall be attending to legal related requirements, issues and queries in view of the laws and regulation applicable to the company. Roles & Responsibilities- Review of LSR/TSR along with search report and advise on the same. Conducting of legal due diligence on properties for creation of mortgage (i.e. by equitable mortgage or by registered mortgage or by extension mortgage), preparation of mortgage documentation and assisting internal teams on legal queries, documentation and stamp duty. Must be familiar with all practices and procedures pertaining to lands of various tenures, their ownership, acquisition, development, including municipal/development rules & regulations Conversant with Consumer laws & RERA and knowledge of Transfer of Property Act & Arbitration and Conciliation. Good knowledge of RBI guidelines and NBFC Compliance laws Knowledge of Corporate Law/Land Laws The candidate shall be involved in corporate legal documentation and attending to legal matters and legal opinions associated to NBFC business Other contract for the Company which shall include: loan documentation document related to bank borrowings, escrow agreements, insurance related corporate agency documents, IT Agreement, DSA/DMA Agreements, service level agreements, Non-Disclosure Agreements etc Litigation on adhoc basis- Handling dispute resolutions, Representing the Company in Court proceedings, drafting of legal proceedings, Notices,. Key Responsibilities - Title Due diligence-Vetting of LSRs issued by empanelled advocate. Loan documentation and security documentation in accordance with sanction conditions Updating on stamp duty or land laws. Vetting of contracts executed by the Company Deliverables Drafting & Vetting Legal Research Good understanding of company law, contract law, RBI regulations and Consumer Act. MS office / Word, Excel & Power Point Practical experience in legal scrutiny reports will be an added advantage Eligibility 3-6 years of experience in NBFC, Bank or a law firm (in BFSI specialization) will be relevant. LLB or LLM Note: Looking for a Local candidate, based out of Mumbai

Job Overview & Responsibilities: The individual will be part of Financial reporting team specifically leading accounting for Wholesale (WS) segment. Candidate would be primarily responsible for review o f: Responsible for financial reporting for a business segment including EIR, TDS, ECL, NPAs etc Preparing high quality deliverables with analysis for a business segment Ensuring reconciliation between Accounting and LMS systems Continuous interaction with senior management of business segment to have a full overview and understanding of business including specific loans Data analysis Yield analyses, Loan book analysis, Loan book movement, Interest and processing fee, Credit Cost Wholesale analysis, variance analysis SR Accounting and monitoring for Whole Sale business. Managing auditors and handling regulatory requirements Working closely with cross functional team Monthly book closure activities and Trial balance analysis Subsidiaries companies' financial statements Wholesale TDS monitoring and coordination with operations and tax team Any other activities related to Wholesale financial reporting QUALIFICATION: Chartered Accountant EXPERIENCE: Minimum 5+ years of post qualification experience in accounting/ financial domain SKILLS AND COMPETENCIES: IND AS Experience with Financial Services Background Familiarity with RBI Regulations for NBFC EIR model working expertise and automation Excellent SAP/ERP knowledge, Microsoft Excel and power point Strong leadership skills and team player Good communication skills

Key Responsibilities: Ensure compliance with the Companies Act, SEBI, RBI, and other relevant regulatory frameworks governing the financial services industry. Manage corporate governance, regulatory filings, and compliance reporting for Mintcap Enterprises and its subsidiaries. Liaise with SEBI, RBI, stock exchanges, and depositories for licensing, approvals, and regulatory submissions. Oversee the preparation and filing of statutory documents, board resolutions, and annual returns. Guide the management team on legal and regulatory requirements, ensuring adherence to industry best practices. Monitor and implement compliance processes for discount broking operations, depository participant services, and mutual fund distribution. Assist in obtaining and maintaining the RBI Account Aggregator License and other relevant future licenses. Develop and implement risk management strategies, ensuring timely audits and regulatory inspections. Organize and conduct board meetings, annual general meetings (AGMs), and committee meetings while maintaining accurate records. Stay updated with amendments in laws and regulations affecting the stockbroking and financial services industry. Requirements: Qualified Company Secretary (CS) with 7-8 years of relevant experience. In-depth knowledge of the Companies Act, SEBI, RBI, and other financial sector regulations. Prior experience in a discount broking firm or financial services company is highly preferred. Strong understanding of compliance requirements for stockbroking, mutual funds, and depository participants. Excellent communication and stakeholder management skills. Detail-oriented with strong analytical and problem-solving abilities. Ability to work in a fast-paced startup environment and manage multiple priorities.

: Job Title: Head Compliance Location: Gurugram Industry: Housing Finance / NBFC Experience Required: 12+ Years Qualification: Chartered Accountant (CA) Team Handling Experience: Mandatory Key Responsibilities: Regulatory Compliance Ensure end-to-end compliance with applicable laws and regulations including RBI guidelines , NHB directives , Companies Act , and Income Tax Act . Oversee accurate and timely filings with RBI , MCA , FIU-IND , and other regulatory authorities . Stay updated on evolving laws and regulations, assess their impact, and implement necessary changes within the organization. Compliance Framework & Governance Develop, implement, and maintain a robust compliance framework , policies, and procedures in line with industry best practices. Establish a compliance calendar and monitor ongoing adherence across departments. Conduct periodic compliance risk assessments and internal audits . Team Management Lead and mentor a team of compliance professionals, ensuring productivity, training, and regulatory knowledge sharing. Coordinate with cross-functional teams including Legal, Finance, Risk, and Internal Audit. RBI / NHB / SEBI / Statutory Interface Act as a key liaison with regulatory bodies for inspections, audits, responses to queries, and compliance-related clarifications. Prepare and present reports to the Board of Directors and Audit Committee on compliance status and issues. Internal Controls & Reporting Monitor internal control systems to detect and prevent violations of regulations and internal policies. Ensure prompt and transparent reporting of compliance breaches , if any, and oversee corrective actions. Training & Awareness Organize compliance training programs and awareness initiatives across departments. Promote a strong compliance culture within the organization. Candidate Profile: Chartered Accountant (CA) with at least 12+ years of post-qualification experience. Proven track record of handling compliance in the housing finance/NBFC/banking sector. Demonstrated team leadership experience . Deep understanding of RBI regulations , NHB guidelines , AML/KYC norms , and statutory reporting . Strong communication, analytical, and stakeholder management skills.

Job Description For: AVP-Compliance. Location: Gurgaon . CTC: As per the industry standard. Reporting Manager: Chief Compliance Officer. Required Details: Experience Required: 10-12 years. Proven experience in the Non-Banking Financial Company (NBFC) sector with a strong understanding of RBI regulations. Excellent organizational and communication skills. Ability to work independently and as part of a team. Strong analytical skills and attention to detail. Key Responsibilities: Ensuring various Compliances under the Master Direction of the Reserve Bank of India for NBFCs and amended Rules thereon. Dealing with various circulars as issued by the RBI, i.e., Scale Based Regulations, KYC, etc. Taking prior approval from the RBI for the appointment of Directors & other matters. Handling FCRA compliances for a subsidiary company. Handling the Select scope inspection from RBI and drafting of requisite replies for the inspection letter. Working Knowledge of Inspection of RBI. Preparation & filing of various monthly, quarterly, half-yearly & annually returns of RBI, i.e., Annual return on foreign liabilities and assets, ECB-2, DNBS01, DNBS03, DNBS4A and DNBS13, Statement of Change of Directors & Auditor Report, etc. Filing of Entity Master Data through Single Master Form (SMF-FIRMS) with the RBI. Assist / Manage board and committee meetings, ensuring timely completion of pre- and post-meeting compliance tasks. Provide guidance and support to junior team members in their compliance-related tasks and responsibilities. Preference for additional experience: Companies Act & SEBI Compliances Compliance of relevant provisions of the SEBI Listing Regulations, including LODR, Insider Trading, SAST, and ICDR. Ensuring various listing compliances of Equity & Debt i.e. monthly, quarterly, half-yearly, annually, event-based, etc. Compliance related to Listing of Non-Convertible Debentures (NCD).

Role Responsibilities: Provide legal advice on policies, documents, contracts, and agreements for the lending business. Draft and review partnership agreements for NBFC, Banking, and LSP outsourcing arrangements. Monitor the regulatory environment, identify new legislations, and advise on implications. Liaise with partner NBFCs and Banks to ensure product compliance with lending regulations. Key Deliverables: Minimized legal exposure and liability for the organization. Compliant and robust partnership and outsourcing agreements. Proactive identification and mitigation of legal and regulatory risks. Maintained documentation, SOPs, and MIS for compliance and audits.

Manage company secretarial duties ensuring RBI & MCA compliance for NBFC. Oversee board meetings, filings, and corporate governance. Handle HR compliance, labour laws, and employee statutory obligations. Liaise with regulators and support audits.

Job Summary: We are hiring a qualified Company Secretary with 5 to 6 years of experience, in the Non-Banking Financial Company (NBFC) to join our Secretarial & Compliance Team. The ideal candidate will be inter-alia responsible for assisting/handling: - MCA Filing. - RBI filing/compliances, - analysis of RBI updates and sharing summary & impact on the Company, - Pre & Post Board/Committee Meetings compliances, including coordination with internal departments for agenda items, - regularly monitoring the Compliance Tool report - Policy review/drafting - fund raising activities - Coordination with Depositories / Stock Exchange This role requires strong organizational skills, attention to detail, and the ability to manage multiple tasks efficiently. Qualifications: Qualified Company Secretary (CS) 5 to 6 years of experience as a Company Secretary, preferably in the NBFC sector. Strong knowledge of RBI Regulations, corporate laws, compliance requirements, and governance practices. Excellent written and verbal communication skills. Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint) and compliance management tools.