What Jobs are available for Chief Compliance Officer in Mumbai?

Role Overview:

The Legal and Compliance Test Manager will be responsible for planning, executing, and managing control testing and monitoring activities to assess compliance with regulatory requirements and internal policies. The role involves working closely with Compliance, Risk, and Audit teams to ensure an effective control environment across Client businesses and functions.

Key Responsibilities:

• Develop and implement the annual compliance testing plan in line with global and regional compliance objectives.
• Lead testing and monitoring reviews across multiple business units to identify control gaps, policy breaches, and regulatory risks.
• Design test scripts and procedures to assess compliance controls and adherence to legal obligations.
• Prepare comprehensive reports summarizing findings, risk assessments, and recommendations for remediation.
• Track and validate corrective actions arising from audit and compliance reviews.
• Partner with Legal, Compliance Advisory, and Business stakeholders to ensure testing coverage aligns with risk priorities.
• Maintain strong awareness of regulatory developments (SEBI, RBI, FCA, MAS, etc.) and their impact on testing programs.
• Contribute to automation and standardization of testing methodologies and documentation.
• Support regulatory inspections and internal audits with required evidence and reports.

Location : Mumbai must.

Notice Period : Immediate to 30 days only.

Experience : 8-12 Years

Required Skills and Qualifications:

• Graduate / Postgraduate in Law, Finance, or related field ; certifications like CIA, CISA, CAMS, or Compliance Diploma are a plus.
• 8–12 years of relevant experience in Compliance Testing, Internal Audit, or Risk Management within an investment bank or financial institution.
• Strong knowledge of regulatory compliance frameworks (MiFID, SEBI, FATCA, AML, etc.).
• Excellent analytical, documentation, and report-writing skills.
• Experience working with global teams and managing multiple testing streams simultaneously.
• Proficiency in Excel, Power BI, or other data analysis tools preferred.
• Strong communication and stakeholder management skills.

Note: Pls do not apply if the location, NP and experience range is not matching.

Company Description

GetVantage is a leading Embedded Finance fintech that reshapes the landscape of small business finance to democratize access to crucial working capital for MSMEs in India. Founded in 2019, it operates on principles of being founder-friendly and revenue-first by providing non-dilutive, fair, and transparent growth capital. Utilising a tech and data-driven approach, the company empowers business-owners with access to working capital ranging from INR 2 lacs to INR 20 Cr. in as fast as 7 days. GetVantage has a growing portfolio of over 1,600 businesses across various industries and is the only non-dilutive fintech platform in India with an RBI-licensed NBFC.

About the Role:

We are looking for an experienced professional to handle legal, compliance, and secretarial functions in our fintech/NBFC business. The role involves contract management, regulatory compliance, corporate governance, and support for strategic transactions.

Key Responsibilities:

• Draft, review, and negotiate contracts, including loan agreements, vendor/SaaS contracts, NDAs, and partnership agreements.
• Provide legal advisory on lending products, co-lending, securitization, and debt instruments.
• Manage disputes, litigation, and enforcement proceedings.
• Ensure compliance with RBI regulations, digital lending guidelines, KYC/AML, data privacy, and other fintech regulations.
• Draft policies, SOPs, and handle regulatory audits and inspections.
• Maintain statutory compliance, organize board meetings/AGMs, file ROC/RBI forms, and manage ESOP/share capital changes.

Qualifications:

• LLB (LLM preferred) with 5+ years in legal, compliance, or secretarial roles in fintech/NBFC/financial services.
• Strong knowledge of corporate laws, RBI regulations, and fintech compliance frameworks.
• Excellent contract drafting, negotiation, and regulatory handling skills.

Nomura Overview:

Nomura is a global financial services group with an integrated network spanning approximately 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Wealth Management, Investment Management, and Wholesale (Global Markets and Investment Banking). Founded in 1925, the firm is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered thought leadership. For further information about Nomura, visit .

Nomura Services, India supports the group’s global businesses. With world-class capabilities in trading support, research, information technology, financial control, operations, risk management and legal support, the firm plays a key role in facilitating the group’s global operations.

At Nomura, creating an inclusive workplace is a priority. Our approach to inclusion encompasses a variety of initiatives, including sensitization campaigns, implementing conducive policies & programs, providing infrastructure support and engaging in community events. Over time, we have made meaningful progress in these areas, and this commitment has been well-recognized across the industry. We are proud recipients of the prestigious Top 10 Employers award by the India Workplace Equality Index (IWEI), IWEI Gold Employer of Choice awards, India CSR Leadership Award 2024 for Holistic Village Development Program and the YUVA Unstoppable Changemaker Awards.

Divisional Overview:

The Risk Management Division encompasses the firm's comprehensive risk framework responsible for determining and managing the overall risk appetite for the firm. The division is responsible for effectively managing the firm's risk-return profile which ensures the efficient deployment of the firm's capital. It is one of the firm's core competencies and is independent of the trading areas and operational areas. The Risk Management Division in India comprises:

• Market Risk Management
• Credit Risk Management
• Model Risk Management
• Operational Risk Management
• Data Integrity Group

Department Overview: Model Risk Management

Within Nomura’s Risk Management division, Model Risk Management (MRM) is responsible for maintaining and executing the firm’s Model Risk Management Framework. With team members based across multiple global locations, MRM operates as a single, integrated function where all members contribute equally to projects. MRM is structured into two key areas: Model Validation and Model Governance. Model Governance manages the Model Risk Framework, Model Inventory, and Model Risk Reporting processes. The team also oversees supporting technology, develops and monitors risk and performance indicators, coordinates regulatory communications, drives cross-functional initiatives, designs policies and procedures, and carries out business management responsibilities for the function. Model Validation ensures the integrity and robustness of models across a wide range of areas, including Risk, Valuation, Algorithmic Trading, Finance, Compliance and Artificial Intelligence among others.

What We Offer:

• We support employee wellbeing by ensuring a sense of purpose and belonging.
• We offer a comprehensive range of wellbeing services which allows employees to get access to the assistance they need at any point in their wellbeing journey.
• Our bespoke benefits support employees and their family’s holistic wellbeing and are inclusive of diverse identities and family structures.

Position Specifications:

Corporate Title: AVP/Senior Associate/Associate

Functional Title: Global Business Manager

Experience: 5 years+

Qualification: Strong University degree

Role & Responsibilities:

The Global Business Manager will play a central role in overseeing global operational activities and supporting the delivery of strategic initiatives within the Model Risk function. This role requires a proactive and solutions-oriented individual who can work across regions, collaborate with senior stakeholders, and manage both strategic projects and day-to-day business operations.

The successful candidate will be highly organised, detail-oriented, and able to challenge and influence senior stakeholders.

Business & Operational Management

• Act as the primary business manager for the Global Model Risk function, ensuring smooth delivery of day-to-day operations and execution of strategic priorities.
• Manage budgets, expenses, invoices, purchase orders, and vendor contracts (including due diligence, service-level reviews, vendor risk management and consultant onboarding).
• Support recruitment and talent processes by liaising with HR on job specifications, interview coordination, and pipeline management.
• Oversee onboarding for new joiners and contractors, ensuring system access, IT setup, and business integration.
• Maintain and update organisational charts and inter-departmental/Legal Entity SLAs, ensuring alignment and audit-readiness.
• Own and regularly update the department’s Business Continuity Plans (BCPs).

Governance & Risk

• Represent Model Risk in internal governance and risk forums (e.g. Risk Working Groups, Operational Risk & Control forums, Information Security/Framework discussions).
• Act as End User Computing (EUC) Coordinator for Model Risk, ensuring compliance with heightened standards, supporting adoption of new tools, and attending working groups.
• Coordinate and maintain the function’s Risk and Control Self-Assessment (RCSA) register, ensuring risks/controls are accurately captured.
• Liaise with Internal Audit (IA) and update systems (e.g., Connected Risk), ensuring timely responses to reviews.
• Support and prepare for internal/external audits, regulatory reviews, and other oversight functions.

Strategic & Project Delivery

• Support the Head of Model Risk Governance and the Head of Model Risk Management in designing, implementing, and optimising the Target Operating Model for Model Risk Management.
• Provide project management support across global initiatives, including resource allocation, milestone tracking, and executive reporting.
• Lead specific departmental initiatives (e.g., clean-up of legacy systems, email groups, confluence, streamlining of reporting obligations, efficiency improvements).
• Support decision-making through preparation of high-quality analysis, reporting, and presentations for senior management, regulators, and forums.
• Coordinate departmental contributions to wider firm initiatives (e.g., budget submissions, planning processes, regulatory requests).

Mind Set

• Strong background in business management, risk management, or financial services operations, preferably within a Model Risk or Risk Management function.
• Excellent communication and influencing skills, with experience engaging senior stakeholders, regulators, and cross-functional teams.
• Analytical mindset with the ability to prepare clear and impactful presentations and recommendations.
• Detail-oriented, proactive, and capable of identifying operational efficiencies and control enhancements.
• Knowledge of model risk processes, governance, or risk frameworks (desirable).
• Familiarity with audit, compliance, and regulatory engagement processes.

Technical

• Strong project management skills with the ability to deliver multiple initiatives simultaneously.
• Experience using Risk Management tools such as model inventory, RCSA etc

We are committed to providing equal opportunities throughout employment including in the recruitment, training and development of employees. We prohibit discrimination in the workplace whether on grounds of gender, marital or domestic partnership status, pregnancy, carer’s responsibilities, sexual orientation, gender identity, gender expression, race, color, national or ethnic origins, religious belief, disability or age.

*Applying for this role does not amount to a job offer or create an obligation on Nomura to provide a job offer. The expression "Nomura" refers to Nomura Services India Private Limited together with its affiliates.

*The benefits are subject to change and will be in accordance with Company’s policies as may be applicable from time to time).

Nomura Overview:

Nomura is a global financial services group with an integrated network spanning approximately 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Wealth Management, Investment Management, and Wholesale (Global Markets and Investment Banking). Founded in 1925, the firm is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered thought leadership. For further information about Nomura, visit .

Nomura Services, India supports the group’s global businesses. With world-class capabilities in trading support, research, information technology, financial control, operations, risk management and legal support, the firm plays a key role in facilitating the group’s global operations.

At Nomura, creating an inclusive workplace is a priority. Our approach to inclusion encompasses a variety of initiatives, including sensitization campaigns, implementing conducive policies & programs, providing infrastructure support and engaging in community events. Over time, we have made meaningful progress in these areas, and this commitment has been well-recognized across the industry. We are proud recipients of the prestigious Top 10 Employers award by the India Workplace Equality Index (IWEI), IWEI Gold Employer of Choice awards, India CSR Leadership Award 2024 for Holistic Village Development Program and the YUVA Unstoppable Changemaker Awards.

Division Overview:

The Risk Management Division encompasses the firm's comprehensive risk framework responsible for determining and managing the overall risk appetite for the firm. The division is responsible for effectively managing the firm's risk-return profile which ensures the efficient deployment of the firm's capital. It is one of the firm's core competencies and is independent of the trading areas and operational areas.

Business Unit Overview:

The Country Risk team is charged with protecting the firm from country events and with undertaking evidence-making analysis on big picture questions that drive superior risk/return. It is made up of economists, political scientists, data scientists and finance professionals brought together by our passion to understand the global environment and how it can business outcomes. We cover 120 countries, and the day-to-day questions we are trying to answer are always evolving.

Our team is full of self-starters who can tackle unstructured problems with independence. While we keep a big picture view, we are rigorous in our detailed approach. We analyse data from multiple dimensions, manage risk limits, develop policies and communicate often with other risk managers and business units. Ultimately, we want to understand how the world works so that we can take decisions that protects the firm from risks. The work we do is always applied and relevant to business objectives

What We Offer:

• We support employee wellbeing by ensuring a sense of purpose and belonging.
• We offer a comprehensive range of wellbeing services which allows employees to get access to the assistance they need at any point in their wellbeing journey.
• Our bespoke benefits support employees and their family’s holistic wellbeing and are inclusive of diverse identities and family structures.

Position Specifications:

Corporate Title: Analyst

Functional Title: Senior Analyst

Experience: 3-5 years

Qualification: M aster in Economics/Political Science/Finance or other Relevant Discipline

Role & Responsibilities:

As a member of the team you will:

• Monitor economic, political, policy and regulatory trends to better anticipate changes in business environment that will affect Nomura
• Form and communicate relevant opinions through a variety of channels, including written pieces, data visualization and presentations
• Cover a portfolio of countries, sovereigns, sub-sovereigns and/or supranationals and make or recommend relevant risk decisions, including on limits, ratings and transactions
• Manage data integrity, risk reporting, portfolio metrics, risk framework ratios and risk-return measurement.
• Monitor and upkeep a risk portfolio, meeting internal and regulatory requirements while constantly improving processes
• Support the country risk team with data, organization etc.

Mind Set:

• Graduate in Economics, Political Science, Finance or other relevant discipline
• 3-5 years of experience in economic research/credit risk roles.
• Proficient in Microsoft Word, Excel and PowerPoint
• Entrepreneurial mind set, with an ability to be resourceful and streamline processes
• Strong analytical skills and flexible thinking across disciplines
• Ability to work independently and as a team member in an unstructured environment
• Excellent communication skills — able to communicate clearly and succinctly, both verbally and in writing
• Self-starter and has willingness to work hard and flexibly in a rewarding environment
• Post-graduate degree
• International experience and languages
• Applied research background
• Advanced data manipulation and visualization skills

We are committed to providing equal opportunities throughout employment including in the recruitment, training and development of employees. We prohibit discrimination in the workplace whether on grounds of gender, marital or domestic partnership status, pregnancy, carer’s responsibilities, sexual orientation, gender identity, gender expression, race, color, national or ethnic origins, religious belief, disability or age.

*Applying for this role does not amount to a job offer or create an obligation on Nomura to provide a job offer. The expression "Nomura" refers to Nomura Services India Private Limited together with its affiliates.

*The benefits are subject to change and will be in accordance with Company’s policies as may be applicable from time to time).

• Develop, validate, and implement quantitative models for market risk, credit risk, operational risk, and other financial risk areas.
• Perform complex data analysis and statistical modeling using programming languages such as Python, R, or C++.
• Contribute to the design and enhancement of risk management systems and platforms.
• Monitor and analyze market trends and economic factors affecting the institution's risk profile.
• Prepare detailed reports and presentations for senior management and regulatory bodies on risk exposures and mitigation strategies.
• Collaborate with front-office, trading, and compliance teams to ensure effective risk management practices.
• Stay abreast of regulatory changes and industry best practices in quantitative risk management.
• Conduct stress testing and scenario analysis to evaluate portfolio resilience.
• Mentor junior analysts and contribute to the team's technical development.
• Ensure the accuracy and integrity of risk data and model outputs.

• Master's or Ph.D. in Quantitative Finance, Financial Engineering, Mathematics, Statistics, Economics, or a related field.
• A minimum of 6 years of experience in quantitative analysis within the financial services industry, with a focus on risk management.
• Strong proficiency in programming languages (Python, R, C++) and data manipulation tools.
• Deep understanding of financial markets, derivatives, portfolio theory, and various risk measures (VaR, ES, etc.).
• Proven experience in model development, validation, and implementation.
• Excellent analytical, problem-solving, and critical thinking skills.
• Strong communication and interpersonal skills, with the ability to explain complex quantitative concepts to non-technical audiences.
• Familiarity with financial regulations (e.g., Basel Accords) and their implications for risk management.
• Experience with large datasets and database management is a plus.
• Ability to work independently and collaboratively in a fast-paced environment.

• Lead the development and validation of actuarial models for pricing, reserving, and capital management.
• Analyze insurance data to identify trends, assess risks, and recommend strategic actions.
• Collaborate with underwriting, product development, and finance teams to provide actuarial insights.
• Ensure compliance with all relevant industry regulations and reporting requirements.
• Mentor and guide junior actuarial staff, fostering their professional growth.
• Communicate complex actuarial findings to senior management and non-technical stakeholders.
• Develop and implement strategies for optimizing risk exposure and profitability.
• Contribute to the overall strategic planning and decision-making processes within the actuarial department.

• Bachelor's or Master's degree in Actuarial Science, Mathematics, Statistics, or a related field.
• Associate or Fellow of the Actuarial Society of India (ASI) or equivalent international credential.
• Minimum of 7 years of experience in the insurance industry, with a focus on actuarial analysis and risk management.
• Proficiency in actuarial software and statistical modeling tools (e.g., R, Python, SAS, Prophet).
• Strong understanding of insurance products, market dynamics, and regulatory frameworks.
• Exceptional analytical, problem-solving, and critical-thinking skills.
• Proven ability to lead teams and manage projects effectively.
• Excellent written and verbal communication skills.

• Develop, maintain, and enhance actuarial models for pricing, reserving, and financial forecasting.
• Conduct in-depth analysis of insurance data to identify trends, risks, and opportunities.
• Prepare detailed reports and presentations on actuarial findings for management and regulatory bodies.
• Collaborate with cross-functional teams to ensure accurate product pricing and effective risk management strategies.
• Stay abreast of industry developments, regulatory changes, and emerging actuarial techniques.
• Mentor junior analysts and contribute to the continuous improvement of actuarial processes.
• Ensure compliance with all relevant actuarial standards and company policies.

• Bachelor's degree in Actuarial Science, Mathematics, Statistics, or a related quantitative field.
• Minimum of 5 years of experience in the insurance industry, with a focus on actuarial analysis.
• Progress towards or completion of actuarial exams (e.g., Fellow of the Actuarial Society of India - FASI, or equivalent international designation).
• Proficiency in actuarial software (e.g., R, Python, SAS, Prophet) and database management.
• Excellent analytical, problem-solving, and critical thinking skills.
• Strong communication and interpersonal skills, with the ability to explain complex concepts clearly.
• Proven ability to work independently and manage multiple priorities in a remote work environment.

• Develop, validate, and implement actuarial models for pricing, reserving, and capital management.
• Conduct thorough risk assessments and analyze the impact of various risk factors on the insurance portfolio.
• Perform statistical analyses and interpret data to identify trends and potential issues.
• Develop recommendations for risk mitigation strategies and product enhancements.
• Ensure compliance with regulatory requirements and industry best practices.
• Lead and mentor junior actuarial analysts, guiding their technical development and professional growth.
• Collaborate with underwriting, claims, finance, and IT departments to provide actuarial support.
• Prepare detailed actuarial reports and presentations for senior management and regulatory bodies.
• Stay abreast of developments in actuarial science, insurance regulations, and risk management techniques.
• Contribute to the development and enhancement of actuarial software and tools.

• Bachelor's or Master's degree in Actuarial Science, Mathematics, Statistics, or a related quantitative field.
• Associate or Fellow designation from a recognized actuarial society (e.g., IAI, SOA, CAS) is highly desirable.
• Minimum of 7-10 years of progressive experience in actuarial analysis within the insurance industry, with a strong emphasis on risk management.
• Proven expertise in pricing, reserving, and capital modeling.
• Strong knowledge of life, health, or general insurance products and regulations.
• Proficiency in actuarial software (e.g., Prophet, R, Python) and database management (SQL).
• Excellent analytical, problem-solving, and critical thinking skills.
• Strong leadership, communication, and interpersonal skills.
• Ability to manage multiple projects and meet tight deadlines.
• Experience with Solvency II or other relevant risk-based capital frameworks is a plus.