Senior Compliance Officer
Description:
Overview:
The Compliance Officer will be responsible for ensuring that the organizations operations and business transactions comply with all relevant legal, regulatory, and internal policy requirements. The role requires strong knowledge of financial services regulations, risk management, and compliance frameworks applicable to financial institutions, fintechs, or NBFCs.
Responsibilities:
Regulatory Compliance & Monitoring:
- Ensure ongoing compliance with applicable laws and regulations (e.g., RBI, SEBI, IRDAI, PMLA, FEMA, FDI, Companies Act, etc.).
- Develop and maintain compliance manuals, policies, and standard operating procedures (SOPs).
Governance & Reporting:
- Ensure ongoing compliance.
- Prepare periodic compliance reports and dashboards for senior management and regulators.
- Maintain statutory registers, records, and filings as per the Companies Act and other applicable financial regulations.
Policy & Advisory:
- Advise business units on regulatory requirements and compliance implications of strategic initiatives.
- Review and approve marketing materials, contracts, and client communications for compliance risks.
- Collaborate with internal legal and audit teams on investigations and remedial actions.
Requirement:
- Bachelors Degree in Law, Commerce, or Finance; Company Secretary & LLB.
- Minimum 3 years of experience in Compliance, Legal, or Risk roles within Financial Services / Banking / Fintech / NBFCs.
- Strong understanding of regulatory frameworks including RBI, SEBI, PMLA, FEMA, Companies Act, and other sectoral laws.
- Proven experience handling regulatory audits, filings, and compliance management systems.
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