Senior Compliance Manager

Role purpose

The Chief Compliance Officer is a statutory position mandated by the Reserve Bank of India (RBI), entrusted with ensuring the organizations strict adherence to regulatory and legal requirements. Acting as both a regulator-facing authority and an internal team leader, the CCO builds and manages a high-performing compliance team, fostering a culture of accountability and transparency. By guiding senior management and the Board on regulatory obligations, proactively identifying and mitigating risks, and driving continuous improvement in compliance processes, the CCO delivers assurance to stakeholders and regulators.

Key result area

Detailed responsibilities

Regulatory Compliance Oversight

Ensure adherence to RBI directives and statutory requirements; monitor regulatory changes; implement compliance policies.

Governance & Risk Management

Establish governance frameworks; identify and mitigate compliance risks; integrate compliance into enterprise risk management.

Leadership & Team Development

Build and lead the compliance team; provide training and guidance; foster a culture of accountability and transparency.

Stakeholder Engagement & Assurance

Advise senior management and the Board; present compliance reports; liaise with regulators; conduct audits, reviews, and investigations; ensure corrective actions.

Business Enablement & Transformation

Partner with business units to embed compliance into processes; balance compliance rigor with agility; drive compliance innovation in digital processes; align compliance with organizational transformation initiatives.

Governance responsibilities

• Policy compliance - Ensures organizational policies are aligned with regulatory requirements and consistently applied across business operations.
• Audit support - Provides inputs and coordination for regulatory, internal and external audits, ensuring transparency and readiness in compliance reviews.
• Regulatory adherence - Monitors adherence to RBI, TRAI, CERSAI, DPDPA, and other regulatory directives, reinforcing governance standards and safeguarding the institutions license to operate.
• Exception handling - Manages deviations from compliance processes, ensuring corrective actions are taken and lessons are integrated into future practices.
• Approval tracking - Oversees compliance-related approvals, ensuring decisions are documented, traceable, and aligned with governance frameworks
• Control monitoring - Implements and reviews control mechanisms to detect gaps early, ensuring operational integrity and regulator confidence.

Preferred education

Company Secretary/ LLB/ Equivalent Professional Qualification

Total experience

Typically, 8 plus years

Relevant experience

8+ years in NBFC, banking, housing finance, microfinance, or regulated lending businesses

Industry preference

NBFC / BFSI / fintech lending

Certifications

Corporate Law/ MBA other risk, or governance certifications may be desirable