Manager - Compliance

Function

Objective

To ensure adherence to regulatory requirements, internal policies, and applicable laws across the organization, and to support the development and implementation of an effective compliance framework that minimizes legal and regulatory risk.

Key Responsibilities

• Monitor and ensure compliance with all applicable laws, regulations, and guidelines issued by regulatory bodies such as RBI, NHB, SEBI, etc.
• Track regulatory developments and communicate relevant changes to internal stakeholders for timely implementation.
• Review, draft, and update internal compliance policies and manuals in line with regulatory changes.
• Conduct periodic assessments and audits to ensure adherence to internal controls and processes.
• Ensure timely and accurate submission of regulatory reports and returns to authorities (NHB, RBI, FIU, etc.).
• Coordinate with various departments to gather required data for reporting.
• Conduct compliance reviews and testing to assess the effectiveness of controls.
• Identify compliance gaps and support implementation of corrective actions.
• Develop and deliver training sessions to employees on regulatory and internal compliance matters.
• Foster a compliance-oriented culture within the organization.
• Assist in internal and external audits and respond to audit queries related to compliance.
• Investigate reported non-compliance issues and recommend appropriate action.
• Act as a point of contact for regulatory inspections, notices, and queries.
• Maintain healthy relationships with key regulatory stakeholders.

Qualifications, Experience and Skills

• Graduate in Law/Commerce/Finance; CS/LLB/MBA in Finance preferred. Certifications in Compliance or Risk Management are a plus.
• 5–8 years of experience in compliance or regulatory roles, preferably in NBFCs, HFCs, or banks.
• In-depth knowledge of housing finance regulations, RBI/NHB guidelines, AML/KYC norms, and corporate governance principles.
• Excellent communication, drafting, and interpersonal skills.
• Strong attention to detail and analytical ability.
• Sound understanding of compliance monitoring tools and frameworks.

Personal Attributes

• High level of integrity, ethics, and professionalism.
• Strong organizational and time-management skills.
• Ability to work independently, cross functional and manage multiple tasks simultaneously.
• Detail-oriented with a focus on accuracy and quality of work.
• Proactive in identifying and addressing issues before they become larger problems.

Competencies

Leading and Developing People

Result Orientation

Decision Making

Adaptability

Analytical Thinking

Effective Team Work

Customer Orientation

Effective Communication & Ability to influence

Process Orientation