Compliance Executive

What youll do?

• Proactively track regulatory developments (RBI, SEBI, AMFI, FIU-IND, etc.) and ensure timely compliance across all applicable laws and guidelines.
• Maintain and update a master compliance tracker covering all departments, coordinating with respective teams to ensure adherence.
• Develop, implement, and monitor compliance frameworks, policies, and control mechanisms for continuous effectiveness.
• Partner with business and product teams to identify and address regulatory requirements, review new products/features, and provide compliance sign-offs.
• Prepare compliance reports, MIS, and updates for senior management and regulators; handle inspections, audits, and regulatory queries.
• Liaise with regulators, industry bodies, auditors, and external stakeholders; manage escalated complaints and Ombudsman matters.
• Conduct periodic compliance monitoring and gap assessments to identify control weaknesses and ensure timely closure of observations.
• Maintain compliance records, regulatory registers, and documentation to support audits, inspections, and regulatory reviews.
• Assist in the preparation of Board and Committee materials relating to compliance, regulatory updates, and policy approvals

Who you need to be?

• Qualified or semi-qualified company secretary or law graduate with at least 1+ years of relevant experience, preferably in an NBFC.
• Strong ability to read, interpret, and implement regulatory requirements. Smart analytical thinking and problem-solving skills.
• Good communication and stakeholder management abilities.
• Proactive, detail-oriented, and able to work independently with minimal supervision in most duties.
• Job location - Chennai. Work from Office.