Compliance Manager

Job description

Key Responsibilities: • Regulatory Compliance: Ensure full compliance with RBI regulations for Middle Layer NBFCs, including reporting requirements, audits, and adherence to the applicable laws. • Policy Implementation: Develop, implement, and update internal compliance (all relevant) policies and procedures to align with regulatory and company standards. • Risk Management: Identify potential compliance risks and take preventive measures to mitigate them. • Audit Coordination: Liaise with internal and external auditors to conduct periodic compliance audits and address any discrepancies or non-conformance issues. • Monitoring: Oversee the monitoring of business activities to ensure compliance with all relevant laws, regulations, and company policies. • Reporting: Prepare and submit timely reports to regulatory authorities, including filings with RBI and other regulatory bodies. • Training & Development: Conduct training sessions for employees to increase awareness of compliance protocols and regulatory updates. • Regulatory Liaison: Act as the primary point of contact for all regulatory authorities, including RBI and other regulatory bodies. • Documentation: Maintain updated records and documentation of all compliance-related activities and correspondence as per the requirement of RBI and Companies Act. Qualifications: • Bachelors or Masters degree in Commerce, Accounts & Finance, Company Secretary, or a related field. • Minimum of 5-7 years of experience in a compliance role, preferably in an NBFC.