11/03 Shweta S
Partner at TruLux

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Senior Manager/AVP - Compliance - NBFC (6-12 yrs)

Mumbai Job Code: 674002

Opening - Sr. Manager/AVP Compliance

Location - BKC, Mumbai

Company - Leading Financial Services Firm

Role & Responsibilities-

Compliance (70%)

- Provide Compliance Clearance for Deals, both from client take on and transaction structure perspective. 


- Manage the Investment Committee governance

- Subject matter expert in NBFC, Listed Debt and FEMA regulations

- Advising business on regulatory changes that have a short / long term impact

- Owning the compliance policies and implementation throughout the business

- Regulatory reporting and regulatory liaison

- Managing the whole compliance ecosystem that applies to an NBFC, i.e. FEMA reporting, CRILIC, CRISIL, CERSAI and so on.

- Assist the Group Compliance in key projects impacting the Group

Governance/Secretarial (30%)

- Manage the internal and statutory audit process independently

- Manage the Committee meetings, ToR and the Board independently

Experience Required:

- 7 to 10 years in NBFC/Structured Finance business

- Company Secretary (LLB added advantage)

Women-friendly workplace:

Maternity and Paternity Benefits

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