 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:
 Bachelor's or Master's 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. Strong knowledge of RBI regulations for Middle layer NBFC, financial industry laws, and
other relevant regulatory bodies.
 Excellent communication, analytical, and problem-solving skills.
 Ability to manage a team and work collaboratively with other departments.
 Proven track record of working with regulatory authorities and handling audits.
Industry Type: Investment and Trading in Share & Securities (NBFC)
Employment Type: Full Time

experience

8