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Job opening for the Compliance Officer role in a Leading NBFC at Mumbai.

Role : Compliance Officer

Location : Mumbai

Working Days : 5 Days

Work Mode : Work from Office

Note: We are considering candidates who are available to join immediately or within a maximum notice period of 30 days.

Roles & Responsibilities:

This role will ensure adherence to RBI and SEBI regulations , support governance processes, manage audits and inspections, and provide compliance guidance to senior leadership and board-level committees. The ideal candidate will have strong expertise in regulatory compliance, risk management, and legal matters.

Key Responsibilities

Regulatory Monitoring & Implementation

• Continuously track and evaluate regulatory updates relevant to the organization.
• Assess the impact of regulatory changes on policies and business processes.
• Disseminate updates to senior management and ensure timely implementation.

Compliance Advisory & Governance

• Ensure strict adherence to RBI and SEBI guidelines.
• Provide compliance advisory to business teams on loan proposals and related matters.
• Present compliance updates and key issues to the Board and board committees.

Reporting & Communication

• Prepare and submit periodic returns to RBI and other regulators.
• Act as the single point of contact for regulatory queries and clarifications.
• Coordinate with group entities to share compliance updates and submit data.

Testing & Review

• Develop and implement the annual compliance testing plan.
• Report significant compliance lapses to the Audit Committee and senior leadership.
• Conduct regular compliance reviews and test internal controls across departments.

Audit & Inspection Management

• Lead annual RBI inspections, statutory and internal audits, and other regulatory reviews.
• Ensure audit readiness, effective participation, and timely closure of audit findings.

Legal

• Handle legal matters including contracts, compliance, litigation, and regulatory affairs.

Qualifications & Skills:

• Bachelors or Master’s degree in Law, Finance, or related field.
• 7–13 years of experience in regulatory compliance, preferably in banking or NBFC sector.
• Strong understanding of RBI and SEBI regulations and financial compliance frameworks.
• Excellent communication, analytical, and stakeholder management skills.
• Experience in handling audits, inspections, and board-level presentations.

Preferred Attributes:

• Certification in Compliance, Risk Management, or related areas.
• Experience in policy drafting and governance.
• Familiarity with compliance systems and automation tools.

Note: We are considering candidates who are available to join immediately or within a maximum notice period of 30 days.

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Job Title: Compliance Officer

Location: Noida

Employment Type: Full-Time

Job Purpose:

To ensure the organization complies with all applicable statutory, regulatory, and internal governance requirements. This includes overseeing internal processes, vendor risk, regulatory filings, and compliance training initiatives.

Key Responsibilities:

Compliance Audit and Reporting

• Conduct comprehensive reviews and maintain documentation to ensure adherence to regulatory requirements and internal standards.

Corporate Governance Review

• Evaluate the organization’s governance framework to ensure alignment with regulatory expectations and industry best practices.

Internal Controls and Process Audits

• Review and assess internal processes to identify control gaps and support the implementation of robust internal controls.

POSP Compliance Review

• Audit onboarding, training, and operations of Point of Sales Persons (POSPs) in accordance with applicable compliance guidelines.

Business Continuity and Disaster Recovery Review

• Support the implementation and testing of Business Continuity Planning (BCP) and Disaster Recovery (DR) frameworks.

Training and Awareness Programs

• Develop and conduct regular training sessions on AML/KYC norms, cybersecurity, and operational risk management.

Documentation for Regulatory Filings

• Assist in preparing and submitting timely, accurate documentation for statutory filings such as shareholding changes, periodic returns, etc.

Gap Analysis and Risk-Based Recommendations

• Conduct gap analyses to identify areas of non-compliance and provide tailored, risk-based recommendations.

Third-Party Vendor Due Diligence

• Perform compliance and risk assessments on third-party vendors to ensure appropriate controls are in place.

Preferred Qualifications:

• Company Secretary (CS) – Preferred
• Candidates with the following backgrounds will also be considered:
• LLB / LLM (Corporate Law / Compliance)
• Chartered Accountant (CA)
• MBA (Finance / Risk / Compliance)
• Graduate/Postgraduate in Commerce, Finance, or Business Law with relevant compliance or risk management experience

Preferred Skills & Experience:

• 4–10 years of experience in regulatory compliance, audits, or governance (preferably in insurance, financial services, or related sectors)
• Strong understanding of regulatory frameworks (IRDAI, SEBI, RBI, etc.)
• Excellent knowledge of corporate governance and internal control systems
• Strong documentation, communication, and presentation abilities
• Ability to collaborate across functions and manage multiple priorities effectively

Job Title: Compliance Officer

Location: Noida

Employment Type: Full-Time

Job Purpose:

To ensure the organization complies with all applicable statutory, regulatory, and internal governance requirements. This includes overseeing internal processes, vendor risk, regulatory filings, and compliance training initiatives.

Key Responsibilities:

Compliance Audit and Reporting

• Conduct comprehensive reviews and maintain documentation to ensure adherence to regulatory requirements and internal standards.

Corporate Governance Review

• Evaluate the organization’s governance framework to ensure alignment with regulatory expectations and industry best practices.

Internal Controls and Process Audits

• Review and assess internal processes to identify control gaps and support the implementation of robust internal controls.

POSP Compliance Review

• Audit onboarding, training, and operations of Point of Sales Persons (POSPs) in accordance with applicable compliance guidelines.

Business Continuity and Disaster Recovery Review

• Support the implementation and testing of Business Continuity Planning (BCP) and Disaster Recovery (DR) frameworks.

Training and Awareness Programs

• Develop and conduct regular training sessions on AML/KYC norms, cybersecurity, and operational risk management.

Documentation for Regulatory Filings

• Assist in preparing and submitting timely, accurate documentation for statutory filings such as shareholding changes, periodic returns, etc.

Gap Analysis and Risk-Based Recommendations

• Conduct gap analyses to identify areas of non-compliance and provide tailored, risk-based recommendations.

Third-Party Vendor Due Diligence

• Perform compliance and risk assessments on third-party vendors to ensure appropriate controls are in place.

Preferred Qualifications:

• Company Secretary (CS) – Preferred
• Candidates with the following backgrounds will also be considered:
• LLB / LLM (Corporate Law / Compliance)
• Chartered Accountant (CA)
• MBA (Finance / Risk / Compliance)
• Graduate/Postgraduate in Commerce, Finance, or Business Law with relevant compliance or risk management experience

Preferred Skills & Experience:

• 4–10 years of experience in regulatory compliance, audits, or governance (preferably in insurance, financial services, or related sectors)
• Strong understanding of regulatory frameworks (IRDAI, SEBI, RBI, etc.)
• Excellent knowledge of corporate governance and internal control systems
• Strong documentation, communication, and presentation abilities
• Ability to collaborate across functions and manage multiple priorities effectively

Job Title: Compliance Officer

Location: Noida

Employment Type: Full-Time

Job Purpose:

To ensure the organization complies with all applicable statutory, regulatory, and internal governance requirements. This includes overseeing internal processes, vendor risk, regulatory filings, and compliance training initiatives.

Key Responsibilities:

Compliance Audit and Reporting

• Conduct comprehensive reviews and maintain documentation to ensure adherence to regulatory requirements and internal standards.

Corporate Governance Review

• Evaluate the organization’s governance framework to ensure alignment with regulatory expectations and industry best practices.

Internal Controls and Process Audits

• Review and assess internal processes to identify control gaps and support the implementation of robust internal controls.

POSP Compliance Review

• Audit onboarding, training, and operations of Point of Sales Persons (POSPs) in accordance with applicable compliance guidelines.

Business Continuity and Disaster Recovery Review

• Support the implementation and testing of Business Continuity Planning (BCP) and Disaster Recovery (DR) frameworks.

Training and Awareness Programs

• Develop and conduct regular training sessions on AML/KYC norms, cybersecurity, and operational risk management.

Documentation for Regulatory Filings

• Assist in preparing and submitting timely, accurate documentation for statutory filings such as shareholding changes, periodic returns, etc.

Gap Analysis and Risk-Based Recommendations

• Conduct gap analyses to identify areas of non-compliance and provide tailored, risk-based recommendations.

Third-Party Vendor Due Diligence

• Perform compliance and risk assessments on third-party vendors to ensure appropriate controls are in place.

Preferred Qualifications:

• Company Secretary (CS) – Preferred
• Candidates with the following backgrounds will also be considered:
• LLB / LLM (Corporate Law / Compliance)
• Chartered Accountant (CA)
• MBA (Finance / Risk / Compliance)
• Graduate/Postgraduate in Commerce, Finance, or Business Law with relevant compliance or risk management experience

Preferred Skills & Experience:

• 4–10 years of experience in regulatory compliance, audits, or governance (preferably in insurance, financial services, or related sectors)
• Strong understanding of regulatory frameworks (IRDAI, SEBI, RBI, etc.)
• Excellent knowledge of corporate governance and internal control systems
• Strong documentation, communication, and presentation abilities
• Ability to collaborate across functions and manage multiple priorities effectively

This role is for one of Weekday’s clients
Salary range: Rs - Rs (ie INR 18-22 LPA)
Min Experience: 5 years
Location: Mumbai
JobType: full-time

Requirements

We are seeking a Company Secretary (5-10 years of experience) as our Compliance officer for SEBI registered entities who is looking forward to an extremely intense and challenging role in our hedge fund-styled investing platform. An ideal candidate would be someone who has held position in a similar profile in the asset management / financial services space.

Candidates with specific experience in the AIF/PMS/Mutual Fund space will be highly preferred.

Roles & responsibilities:
a. Lead the entire compliance function end-to-end for all SEBI registered licenses
i. Establish and implement all the compliance policies that are applicable to all SEBI registered and regulated investment licences – AIF, PMS, RIA. Regularly review and upgrade the policies as required by regulation.
ii. Build and implement processes and systems to ensure smooth functioning w.r.t compliance function
iii. Review and ensure timely and accurate submissions of various regulatory filings are on time and accurate.
iv. Facilitate establishing an audit and compliance testing program.

b. Stakeholder management
i. Monitor regulatory changes, assess impact on business, provide comments on consultative papers and act as a Nodal point of contact between the Company and SEBI and to be a participant to the consultations or other regular discussions.
ii. Ensuring the timely response/ interactions thereof to the SEBI onsite and offsite inspections and be the central coordinator for any regulatory exercises.
iii. Lead and facilitate interactions with the Board, Audit Committee, and other committees. Apprise all with the status of compliance with respect to the regulatory requirements and assist them to make an informed judgment on whether the SEBI registered entity/funds are managing its compliance risk effectively.
iv. Work in a team of 5-6 members and lead 1-2 staff

c. Value addition
i. Get deeply involved with the Product team in creation of financial strategies/products right at the inception and provide understanding of applicable regulations
ii. Lead the exercise for prospective licenses like Mutual Fund etc
iii. Interpret regulations and seek clarifications from Regulator and from the market, as required.
iv. Assess changing regulations and proactively highlight potential risk areas and implement solutions accordingly.

d. Recommend and institutionalize best governance policies and practices. DNA:
a. We expect you to have higher energy, higher intellectual capability and a desire to handle bigger responsibilities than an average professional of your age/experience will generally do.
b. We expect you to take a lot of initiative to do on-the-job learning about different financial instruments and products.
c. We expect you to create a positive environment for your team and help your team members grow professionally as well.

Department: Compliance

Role & Responsibilities:

Knowledge, Skill and Abilities

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