Chief Compliance Officer - BFSI

Chief Compliance Officer

We are looking to induct self-motivated professional for the role of Chief Compliance Officer Role having 7 to 10 years of Experience in Regulatory compliance (RBI / SEBI) preferably with NBFC (Capital Market oriented)/ Private Sector Banks / Stock Broking Outfit.

Sector: Capital Markets

Location: Mumbai

Reporting into: CEO

Experience : Range of 7 to 10 years

Educational Qualifications : CS (mandatory) + LLB (optional)

Key Responsibilities :

RBI Compliance Management:

- Stay updated with RBI / SEBI regulations, circulars, guidelines, and notifications relevant to the NBFC sector.

- Develop and maintain a robust compliance framework aligned with RBI directives, ensuring regulatory adherence, SEBI directives including LODR requirements.

- Monitor changes in RBI / SEBI regulations and update compliance policies and procedures accordingly.

Securities Issuance and Compliance:

- Oversee issuance of securities (shares/debentures) and ensure compliance with Companies Act, RBI, and FEMA.

- Provide support to the Back-Office Treasury Team for issuance of Commercial Papers / Non-Convertible Debentures and ensure SEBI and RBI compliance.

Statutory Compliance and Reporting:

- Maintain and update statutory books, including registers of members, directors, and secretaries.

- Prepare and file necessary e-forms/returns with MCA/ROC and other statutory/regulatory authorities.

- Timely filing of foreign inward remittance intimation/returns with AD, RBI, and relevant authorities

- Review of Secretarial Compliance

Coordination and Support:

- Coordinate with external parties such as advisers, consultants, lawyers, and auditors, providing necessary documents and information.

Additional Responsibilities:

- Provide support to other teams on transactions or regular basis.

- Ensure timely issuance of notifications related to Board/Committee members/management.

- Assist in due diligence for corporate matters. related to potential acquisition targets.

- Handle annual filings with MCA/ROC, RBI, and other authorities.

- Provide timely updates to Management / Board on new regulations and its impact on the Company

Key Requirements:

- Thorough understanding of RBI / SEBI regulations, guidelines, and directives applicable to NBFCs.

- Strong analytical skills, attention to detail, and ability to interpret complex regulatory requirements.

- Excellent communication and interpersonal skills, with the ability to interact effectively with regulators, senior management, and other stakeholders