Compliance Manager

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.