Compliance Manager (NBFC)

Job description

**About Angel One:** Angel One is one of India's fastest growing fintech's, on a bold mission to make investing simple, smart, and inclusive for every Indian. With over 3+ crore clients, were building at scale and building for impact. Our Super App helps clients manage their investments, trade seamlessly, and access financial tools tailored to their goals. We are working to build personalized financial journeys for our clients, powered by new-age tech, AI, Machine Learning and Data Science. We're a builder's company at heart. Youll have the space to experiment, the freedom to move with velocity, and the mandate to make bold, user-first decisions – every single day. The vibe? Think less hierarchy, more momentum. Everyone has a seat at the table and a shot to build something that lasts. Be part of a team that’s scaling sustainably, thinking big, and building for the next billion. **Why You'll Love Working at Angel One!** - **Tech Systems that run at Scale:** From AI to real-time data infra, you’ll work on tech that’s ahead of the curve and solve problems that truly matter. - **Build one of India’s Leading Fintech Platform:** We’re not just disrupting finance – we’re shaping how billion Indians access wealth. - **Own It. Drive It. Scale It:** You’ll have the freedom to lead, the resources to build, and the opportunity to leave your mark. - **Empowered Growth:** We invest in your growth and empower you to explore your full potential. - **Exceptional Benefits:** Our comprehensive benefits package includes health insurance, wellness programs, learning & development opportunities, and more. **Job Title:** Compliance Manager (NBFC) **Location:** Mumbai (Andheri East) **What you will do:** **Role Overview** The NBFC Compliance Manager will be responsible for ensuring compliance with applicable regulatory requirements, circulars, and guidelines issued by the Reserve Bank of India (RBI) and other applicable authorities. The role involves monitoring regulatory changes, implementing compliance frameworks, coordinating audits and inspections, and ensuring adherence to internal policies and governance standards. **Key Responsibilities** **Regulatory Compliance** - Ensure compliance with RBI regulations applicable to NBFCs, including prudential norms, KYC/AML requirements, Fair Practices Code, outsourcing guidelines, and IT/cybersecurity requirements. - Track and interpret regulatory updates, circulars, and notifications issued by RBI, FIU-IND, and other regulators. **Compliance Monitoring & Reporting** - Conduct periodic compliance reviews and testing across business functions. - Prepare, review, and submit RBI returns and regulatory filings within prescribed timelines. - Handle NBS Returns, XBRL, CRILC reporting, ALM & Liquidity reporting, Capital Adequacy (CRAR) reporting, Statutory Compliance Certificates, FIU-IND Reporting (CTR/STR) & CKYCR uploads and reporting. - Maintain compliance dashboards, trackers, and MIS for senior management and committees. - Escalate compliance gaps and monitor closure of observations. **Policy & Governance** - Draft, review, and update compliance policies, SOPs, and governance frameworks. - Ensure implementation of internal controls and compliance monitoring mechanisms. - Support Board and Committee reporting related to compliance matters. **KYC / AML Compliance** - Monitor adherence to KYC, AML, PMLA, and customer due diligence requirements. - Coordinate suspicious transaction monitoring and regulatory reporting requirements. - Conduct periodic compliance training and awareness programs. **Audit & Regulatory Inspections** - Coordinate with internal auditors, statutory auditors, and regulators during audits and inspections. - Track audit observations and ensure timely remediation. - Maintain documentation and evidence for regulatory inspections. **Who you are:** - Bachelor’s degree in finance, Law, Commerce, Business Administration, or related field. - 5–10 years of experience in compliance, risk, audit, or regulatory roles within NBFCs or banks. - Strong understanding of RBI regulations and NBFC compliance requirements. **Skills Required** - Knowledge of RBI Master Directions and NBFC regulatory framework. - Understanding of KYC, AML, PMLA, outsourcing, and digital lending guidelines. - Strong analytical, documentation, and stakeholder management skills. - Ability to interpret regulations and implement compliance controls. - Proficiency in MS Excel, reporting, and compliance tracking tools. **At Angel One, our thriving culture is rooted in Diversity, Equity, and Inclusion (DEI).** *As an Equal opportunity employer, we wholeheartedly welcome people from all backgrounds irrespective of caste, religion, gender, marital status, sexuality, disability, class or age to be part of our team.* *We believe that everyone's unique experiences and viewpoints make us stronger together.* *Come and be a part of #OneSpace\\*, where your individuality is celebrated and embraced.*