Compliance Manager - NBFC

Description:

Key Responsibilities:

- Proactively track regulatory developments (RBI, SEBI, AMFI, FIU-IND, etc.) and ensure timely compliance across all applicable laws and guidelines.

- Maintain and update a Master Compliance Tracker covering all departments, coordinating with respective teams to ensure adherence.

- Read, interpret, and implement regulatory requirements effectively into internal processes, policies, and documentation.

- Develop, implement, and monitor compliance frameworks, policies, and control mechanisms for continuous effectiveness.

- Partner with business and product teams to identify and address regulatory requirements, review new products / features, and provide compliance sign-offs.

- Prepare compliance reports, MIS, and updates for senior management and regulators; handle inspections, audits, and regulatory queries.

- Conduct internal reviews, telecall evaluations, monitoring activities, and support in preparation of STRs and other regulatory submissions.

- Liaise with regulators, industry bodies, auditors, and external stakeholders; manage escalated complaints and Ombudsman matters.

Preferred Candidate Profile:

- Qualified Company Secretary or Law Graduate with at least 3 years of relevant experience, preferably in an NBFC.

- Strong ability to read, interpret, and implement regulatory requirements.

- Smart analytical thinking and problem-solving skills.

- Good communication and stakeholder management abilities.

- Proactive, detail-oriented, and able to work independently with minimal supervision in most duties.