Senior Role - Compliance - NBFC

Roles & responsibilities:

- Oversee and manage the compliance of the NBFC (ND-SI) that is into capital market activities of dealing in securities, with limited lending.

- Proactively advise the leadership team on potential compliance related risks and risk mitigation strategies.

- Establish and implement the compliance policy, identification, and monitoring of the compliance risk across the organisation.

- Ensuring the timely response/ interactions thereof to the RBI onsite and offsite inspection and be the central coordinator.

- Recommend and institutionalize best governance policies and practices.

- Interact with the board of directors and audit committee.

- Review and ensure submission of various regulatory filings are on time and accurate.

- Submit to the Board/Audit Committee, the status of compliance with respect to the regulatory requirements and to assist them to make an informed judgment on whether the NBFC is managing its compliance risk.

- Monit or regulatory changes, assess impact on business, provide comments on consultative papers and act as a Nodal point of contact between the Company and the Reserve Bank of India (RBI) and to be a participant to the consultations or other regular discussions with

- Ensure that the policies, as are applicable to NBFCs are framed, approved, and regularly reviewed.

- Facilitate establishing an audit program for the NBFC.

- Drafting and Review of commercial agreement.