Compliance Head : Andheri W : Sal 20 LPA

Our client a listed Finance Company needs -

Post : Compliance Head
Reporting to : Managing Director
Location : Andheri W, Mumbai
Experience : Min 5 years

Qualification : CS / LLB / CA Compliance Specialist
Salary : 20 LPA

Role
To Ensure our client is in full compliance with RBI regulations, the Companies Act, SEBI LODR, applicable NBFC guidelines AML / PMLA norms and corporate-governance standards — while building robust compliance systems, SOPs and a strong compliance culture across the organisation.

Job Profile

Regulatory Compliance & RBI Returns

• Ensure 100% accurate and on-time filing of all RBI returns, statutory reports and event-based submissions.
• Own and maintain the enterprise compliance calendar and maker–checker review discipline; close regulatory observations sustainably.
• Safeguard CKYC / KYC operational integrity across PAN, Aadhaar and document-verification workflows.

Corporate & Secretarial Compliance (Listed Entity)

• Oversee Board and Committee governance — notices, agendas, board notes, resolutions and minutes.
• Ensure on-time ROC, SEBI LODR and stock-exchange filings, and maintain statutory registers and secretarial records.

AML / PMLA & Financial-Crime Compliance

• Design, implement and continuously strengthen the AML / PMLA framework; ensure timely STR / CTR filings and insider-trading controls.
• Drive annual AML, ethics and compliance training across the organisation.

Monitoring, Risk & Governance

• Proactively identify regulatory and compliance risks and ensure high-risk gaps are remediated promptly.
• Present a monthly compliance dashboard to the MD and senior management; ensure CERSAI and security-interest compliance across the secured portfolio.

Regulatory & Board Stakeholder Management

• Act as the primary interface with RBI, SEBI, ROC and other regulators; lead inspection readiness and drive prevention of repeat observations.
• Prepare and present materials to the Board Audit / Compliance Committee.

Leadership, Culture & Team

• Build a strong compliance culture and a zero-tolerance stance on shortcuts and ethical breaches; lead, mentor and retain a capable team
  
  
  Experience & Knowledge
• Listed-entity secretarial compliance experience (SEBI LODR, ROC, stock-exchange filings) strongly preferred.
• Strong grounding in RBI Master Directions & NBFC regulations (incl. Scale Based Regulation), Companies Act 2013, AML/PMLA, FIU-IND reporting, CKYC and CERSAI.
• Progressive compliance experience within NBFC / BFSI with hands-on ownership of RBI regulatory filings

Candidate Profile

Qualifications

• Company Secretary (CS), LLB or Chartered Accountant (CA) — a recognised compliance-specialist qualification is essential.
• Additional certifications in AML / compliance / corporate governance are an advantage.

Leadership & Behavioural Competencies

• Ownership & Accountability — takes visible personal ownership of outcomes without deflection.
• Communication, Influence & Executive Presence — communicates with context and rationale; a calm, credible presence.
• Resilience & Leading Through Change — maintains composure under regulatory pressure and steadies the team through change.
• Ethical Conduct & Integrity — upholds the highest standards and champions a zero-tolerance culture for shortcuts.

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Email CV to [email removed] with current salary and notice period. Pls mention in your cv your Date of Birth and current location in Mumbai

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