Compliance Manager

Role Purpose

To support the Chief Compliance Officer in establishing and maintaining an effective compliance framework across the NBFC and HFC businesses by ensuring compliance with applicable regulatory requirements, conducting compliance monitoring, coordinating regulatory inspections, managing regulatory reporting, and supporting compliance governance and risk management activities.

Key Responsibilities:

• Regulatory Compliance & Advisory: Monitor RBI, NHB, FIU-IND and other regulations; assess regulatory changes; provide compliance guidance; maintain compliance trackers.
• Compliance Monitoring & Risk Management: Conduct reviews/testing, identify gaps, track corrective actions and maintain compliance risk registers.
• Regulatory Reporting & Inspections: Coordinate regulatory returns, inspections, audits and closure of observations.
• KYC, AML & Customer Protection: Monitor KYC/AML/PMLA, Fair Practices Code, Ombudsman, Digital Lending and Outsourcing compliance.
• Governance & Policy Management: Update policies/SOPs, prepare MIS, Board and Committee reports, and conduct compliance training.
• Business Advisory: Provide compliance oversight on products, strategic initiatives, outsourcing and process changes.

Key Deliverables

• Timely implementation of regulatory changes; accurate regulatory filings; completion of compliance reviews; closure of observations; Board/Management reporting; strong compliance culture.

Key Skills Required:

Strong knowledge of NBFC/HFC regulations, KYC/AML/PMLA, Digital Lending, Outsourcing, compliance monitoring, risk assessment, stakeholder management, drafting and presentation skills.

Qualification & Experience

CA / CS / LLB / MBA (Finance) or equivalent qualification with 3-5 years of experience in Compliance, Risk, Regulatory , Governance or Audit within NBFCs, HFCs, Banks or Financial