Senior Manager/AVP/VP - Compliance Officer - FinTech

A well established Banglore based Fintech is looking For CS and Compliance officer(Senior role ).

Compliance Officer Responsibilities:

Regulatory Compliance: Ensure that the company complies with all applicable laws, regulations, and guidelines governing NBFCs, including but not limited to RBI regulations, KYC/AML norms, and other statutory requirements.

Policy Development: Develop and maintain comprehensive compliance policies, procedures, and manuals to ensure that all employees are aware of their responsibilities regarding compliance.

Risk Assessment: Conduct risk assessments to identify potential compliance issues and develop strategies to mitigate these risks effectively.

Training and Education: Organize and conduct training sessions for employees to raise awareness and understanding of compliance requirements and updates.

Monitoring and Reporting: Continuously monitor the company's operations to identify and report any compliance violations or irregularities to senior management and regulatory authorities, as necessary.

Advisory Role: Serve as a compliance resource for employees, answering questions and providing guidance on compliance-related matters.

Compliance Awareness: Stay updated on changes in regulations, laws, and industry trends affecting fintech industry for regulators like RBI, SEBI etc.and ensure that the company remains in compliance with any changes related to the operations of the company.

Company Secretary Responsibilities:

Corporate Governance: Oversee all corporate governance matters, including organizing board meetings, preparing minutes, and ensuring compliance with the Companies Act and other relevant regulations.

Compliance with ROC: Ensure timely filing of necessary documents and forms with the Registrar of Companies (ROC) and other regulatory authorities.

Shareholder Relations: Manage relationships with shareholders, handle share transfers, and oversee dividend distribution processes.

Board and Committee Support: Assist in the appointment of directors, maintain statutory registers, and facilitate board and committee meetings.

Qualifications:

- Bachelor's degree in finance, law, business administration, or a related field (Master's degree preferred).

- Company Secretary (CS) qualification from the Institute of Company Secretaries of India (ICSI).

- Minimum of 10-12 years of relevant experience in compliance and company secretarial roles within the financial industry, with specific experience in NBFC & Bank compliance would be preferred.

- Strong knowledge of RBI regulations, Companies Act, and other relevant financial and corporate governance regulations.

- Excellent communication and interpersonal skills.

- Analytical mindset with attention to detail.

- Strong organizational and project management skills.

- Ability to work collaboratively and independently as needed.