456 Compliance Head jobs in India

Job description

Urgent Hiring for - Legal & Compliance Head

Preferred immediate joiner
email -
contact no. -
Location - Andheri, Mumbai
Experience - 8 to 12 years
Salary - 10 LPA - 15 LPA

Job Summary

We are looking for a highly experienced and strategic Legal Head to oversee all legal matters of the

company across our business verticals: DSA operations, Corporate Insurance Agency, Mutual

Fund Distribution, and Realty Brokerage under RERA. The incumbent will be responsible for

ensuring legal compliance, managing regulatory risks, handling litigation, and advising on corporate governance and business contracts.

Key Responsibilities

Regulatory Compliance & Risk Management:

Ensure compliance with RBI, SEBI, IRDAI, AMFI, and RERA regulations relevant to the companys operations.

Keep abreast of evolving laws and regulatory guidelines aecting DSAs, corporate insurance agencies, mutual fund distributors and real estate brokerage.

Develop and implement risk mitigation strategies to safeguard company operations.

Liaise with regulatory authorities as needed.

Contract Management & Documentation:

Draft, review, and negotiate agreements including loan distribution agreements, insurance

distribution contracts, mutual fund agreements and real estate brokerage agreements.

Ensure all business contracts are legally sound and aligned with regulatory requirements.

Maintain proper documentation for business transactions and client agreements.

Litigation & Dispute Resolution:

Manage legal disputes, litigation, and arbitration proceedings.

Represent the company in legal matters and coordinate with external legal counsel when required.

Handle customer complaints and regulatory inquiries in coordination with compliance teams.

Corporate Governance & Advisory:

Advise the leadership team on legal risks, corporate policies, and governance frameworks.

Ensure adherence to corporate governance best practices.

Assist in board and shareholder meetings by providing legal opinions and necessary documentation.

Team Leadership & Training:

Lead the legal department and foster seamless coordination with all internal departments to ensure legal compliance across business operations.

Conduct legal training sessions for employees to ensure adherence to legal and regulatory requirements.

Qualifications & Skills

LLB/LLM from a reputed institution.

Minimum 8-10 years of experience in legal roles, preferably in financial services, NBFCs, insurance, mutual funds or real estate brokerage.

Strong understanding of regulatory frameworks (RBI, SEBI, IRDAI, AMFI, RERA).

Expertise in contract law, litigation, corporate governance, and compliance.

Excellent negotiation, analytical, and communication skills.

Ability to work in a fast-paced and dynamic environment.

Why Join Us?

Opportunity to work in a dynamic and growing financial services firm.

Lead legal strategy for a multi-faceted business.

Engage with top financial institutions and regulatory bodies.

Email -

Contact no. -

Great Organization

One of the growing PE/VC firms in India

About Our Client

We are an early-stage venture capital fund committed to investing in visionary founders building the next wave of disruptive businesses.

Job Description

Lead and manage all compliance functions of the fund, including regulatory filings, audit coordination, and compliance monitoring.

Serve as the principal liaison with SEBI, ensuring timely and accurate submissions, responses, and regulatory reporting.

Oversee compliance for the fund's operations under the SEBI AIFs Regulations, including Category II AIFs compliance as applicable.

Monitor changes in regulatory environment and assess their impact on fund operations, proactively guiding the management team on required actions.

Design and implement compliance policies, procedures, and controls to support fund governance and investor protection.

Coordinate with internal teams (Legal, Investment, Finance) and external advisors/auditors to ensure holistic compliance.

Provide strategic advice to the CFO and senior leadership on compliance risks and recommend practical, risk-mitigated solutions.

Lead internal compliance training and awareness programs across teams.

Ensure the fund's anti-money laundering (AML) and KYC policies are in line with applicable laws and best practices.

The Successful Applicant

15-20 years of experience in Compliance/Legal roles, with at least 5+ years in a senior compliance role within a financial institution, fund, or AIFs.

Strong understanding of SEBI regulations, particularly SEBI (AIFs) Regulations, and regulatory interactions.

Proven ability to front-end with SEBI and other regulators.

Demonstrated maturity in handling senior stakeholders and reporting directly to CFOs or other C-level executives.

Familiarity with fund structuring, investor reporting, and governance frameworks.

Bachelor's degree in law, Finance, or related field; additional certifications (, CS, LLB, CCO Certification) are a plus.

Job description

Location: Mumbai, Andheri
Reporting To: CEO and CFO

About Ruloans
Ruloans is a leading financial distribution company specializing in loans, insurance, and
investment products. As a Direct Selling Agent (DSA), a Corporate Insurance Agency, a Mutual
Fund Distributor, and a Realty Brokerage registered under RERA, Ruloans partners with top
financial institutions to provide customers with the best financial solutions.
Job Summary
We are looking for a highly experienced Company Secretary, Legal & Compliance Head to oversee
all regulatory, legal, and corporate governance matters of the company. This role will encompass
compliance with financial regulations (RBI, SEBI, IRDAI, AMFI, RERA), corporate governance
under the Companies Act, litigation management, contract negotiations, and IPO-related
processes. The candidate will serve as the bridge between the company and regulatory
authorities, ensuring full adherence to laws governing DSAs, corporate insurance agencies,
mutual fund distribution, and real estate brokerage.
Key Responsibilities
Corporate Secretarial & Governance:
 Ensure compliance with the Companies Act, SEBI regulations, and stock exchange listing
requirements (for IPO and post-IPO phases).
Organize and manage board meetings, general meetings, and shareholder
communications.
aintain statutory registers and handle filings with the Registrar of Companies (ROC),
SEBI, and Stock Exchanges.
nsure proper documentation of board resolutions, minutes, and regulatory filings.
ssist in drafting annual reports, ensuring timely disclosures and governance reporting.
Legal & Compliance Management:
nsure the company’s compliance with RBI, SEBI, IRDAI, AMFI, RERA, and other financial
and corporate regulations.
 y updated on evolving laws and regulations impacting DSAs, corporate insurance
agencies, mutual fund distributors, and real estate brokerage.
evelop and implement risk mitigation strategies to safeguard business operations.
andle customer complaints, regulatory inquiries, and insider trading compliance.
ct as the company’s primary liaison with legal authorities, regulatory bodies, and
auditors.
IPO Management & Investor Relations:
 d the IPO process, ensuring compliance with SEBI’s disclosure requirements.
 rdinate with investment bankers, legal advisors, and regulatory authorities for IPO
execution.
repare and manage pre-IPO and post-IPO documentation, including draft prospectus
and regulatory filings.
nsure accurate and timely corporate disclosures and investor communications postIPO.
Contract & Litigation Management:
raft, review, and negotiate contracts related to loan distribution, insurance, mutual
funds, and real estate brokerage.
anage legal disputes, litigation, arbitration, and regulatory hearings.
epresent the company in legal proceedings and coordinate with external counsel when
required.
Team Leadership & Compliance Training:
ead the legal and compliance department, ensuring eƯective coordination with all
business functions.
 nduct internal compliance training to educate employees on legal, governance, and
regulatory matters.
Key Qualifications & Experience:
ompany Secretary (CS) qualification with membership in the Institute of Company
Secretaries of India (ICSI).
LB/LLM is highly preferred.
inimum 8-10 years of experience in corporate legal and compliance roles, preferably in
financial services, NBFCs, insurance, mutual funds, or real estate brokerage.
trong expertise in Companies Act, SEBI (LODR) Regulations, RBI, IRDAI, AMFI, RERA, and
other regulatory frameworks.
rior experience in IPO management, SEBI compliance, and investor relations is highly
desirable.
xcellent contract negotiation, analytical, and risk management skills.
bility to manage multiple regulatory filings, corporate governance matters, and litigation
cases eƯiciently.

About Bhavin Bhavin Turakhia is a serial entrepreneur and has founded multiple successful companies. His companies are unique in several ways - (1) all bootstrapped and self-funded (2) with an intense Focus on profitability (3) delivering High ROCE (4) serving Global Markets (6) in Enduring Categories (7) with Majority stake still owned by Bhavin.About Bhavin’s Businesses Zeta is a Next-Gen Banking Tech company that empowers banks and fintechs to launch banking products for the future. Its flagship processing platform - Zeta Tachyon - is the industry’s first modern, cloud-native, and fully API-enabled stack that brings together issuance, processing, lending, core banking, fraud & risk, and many more capabilities as a single-vendor stack. Zeta is actively working with the largest Banks and Fintechs in multiple global markets transforming customer experience for multi-million card portfolios. Zeta has over 1700+ employees - with over 70% roles in R&D - across locations in the US, EMEA, and Asia . Zeta has raised $400 million at a $ billion valuation from Softbank, UHG, Mastercard, and other investors.Titan is the first customer-centric email suite created specifically for professionals and small business owners, with features designed to enable deeper, more meaningful relationships with customers. Available through leading web hosts, site builders, and domain registrars, Titan provides dynamic tools needed to effectively build customer relationships over email. In 2021, Titan received a 30M investment from , valuing Titan at 300M. Radix is one of the world's largest domain registries; and the owner of the most premium Top Level Domain extensions including .store, .inline, .tech, .online, .website, .site, .space etc. Radix is profitable, lean and was valued at over 900 million. (Note: The above is not a complete list)About the Role Bhavin’s office incubates various fintech businesses in India, comprising lending, deposit and payment products for consumers and businesses, in partnership with various banks. As Head of Compliance, you will lead compliance and regulatory risk oversight across all products and touchpoints. You will interface with partner banks, RBI, card networks and other regulators and ensure complete adherence to all applicable regulatory frameworks governing digital lending, credit bureau data, account aggregator access, KYC/AML, investment advisory (RIA) services and deposits.

Responsibilities

Regulatory strategy and compliance

Establish a comprehensive Compliance Manual and SOPs for each product aligned with RBI, PMLA, IT/DPDP rules, digital lending, and data privacy directives

Monitor, interpret and implement developments across RBI (NBFC, Digital Lending, PMLA, Data Protection), SEBI (RIA), CICRA, DPDP

Licensing & Regulator Liaison

Own end‑to‑end licensing - NBFC registration, bureau partnerships, etc.

Serve as principal point of contact with respect to compliance, with RBI, SEBI, credit bureaus, Account Aggregators and external legal counsel.

Lead all compliance reporting: STRs (FIU-IND), regulatory returns, KYC/AML filings and RIA disclosures.

Risk Assessment & Internal Controls

Partner with Product, Tech and Ops to embed controls early in the development lifecycle and train all staff on regulatory updates.

Ensure all lending workflows meet regulatory limits, disclosures and fair-practice code.

Build and operate a dynamic compliance risk‑assessment framework for KYC/AML, underwriting, data‑flows and advisory conduct

Plan and oversee periodic internal audits and assessments; drive remediation of control gaps.

Lead investigations into compliance incidents and recommend corrective actions.

Leadership & Culture

Build, mentor and scale a cross-functional compliance team (Policy, Audit, Data Governance).

Skills & Attributes

Strong understanding of RBI, SEBI, CICRA, PMLA, DPDP and other related regulations, especially around credit lending and data monetization.

Experience in designing and implementing Compliance Management Systems and risk controls from scratch, and for new digital product launches

Experience working with product and tech teams to embed compliance into digital lending workflows.

Experience managing regulatory interactions, inspections, and licensing

Familiar with consent architecture, data governance, and secure handling of financial data.

Entrepreneurial, highly collaborative and comfortable in a high‑growth startup

Proactive ownership mindset with strong analytical rigour

Experience & Qualifications

10–15 years in fintech / banking, compliance/legal roles within reputed law firm, NBFC, bank, or regulated fintech.

LLB or equivalent law degree. Any additional professional certifications relevant to the subject preferred.

Equal Opportunity We are an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all employees. We encourage applicants from all backgrounds, cultures, and communities to apply and believe that a diverse workforce is key to our success

Roles and Responsibilities  

Tracking Market movement and Risk exposures of clients- ODIN /OMNSYS
Monitoring clients positions, limits and triggering
Exchange Margin preparing and reporting
Take follow up of Peak & MTM Margin
Knowledge products like MTF, Exchange settlement

Desired Candidate Profile  

Perks and Benefits  

Job description

JD RMS EXECUTIVE

 Roles and responsibilities

 :
· Cross checking BOD for All segments before Market Start.
· Making Activation and Deactivation of Trading Terminal and Investor client. 

· Ability to resolve queries on a day to day basis.
·

 Keeping Monitoring on Additional Surveillance Margin (ASM) and reporting to HOD. 

· Blocking GSM and Illiquid scrip on Time to Time in the Trading system.
·

 RMS Blocking for Debit, RMS Blocking for Far month Contract, RMS Blocking for
Illiquid scrip. 

· Keeping track of MTM Alert violation, MTM net position & Square off the open position
once MTM Loss get triggered.

 · Responsible for squaring off all the intraday position through Timer Square off for all
segments.

 · Supervision of Limit assigned to the clients (Base Limit and Intraday limits). 

· Coordination with different teams. 

· Surveillance of Script Wise & Client wise Position, Simulated Trade, Script concentration
etc.

 · Track on Tender period contract in all Segments, Whole process of Straggled Delivery
Mechanism.

 · Successfully Implementation Exchange & Depository Related Compliances.

 · Enhance Supervisor Reporting, Client fund, Collateral, Security Balance (Weekly's).

 · Daily Margin Reporting for all Segments.

 · Quarterly Settlement of A/Cs & Dormant & Inactive Process & CTCL Empanelment.

**Description**
At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our customers, communities, and colleagues. As part of Team Amex, you'll experience this powerful backing with comprehensive support for your holistic well-being and many opportunities to learn new skills, develop as a leader, and grow your career.
Here, your voice and ideas matter, your work makes an impact, and together, you will help us define the future of American Express.
**How will you make an impact in this role?**
The Fraud, Credit Bust Out (CBO), Banking Product & Payments Risk Organization is a global team of risk officers, data scientists, and product managers that are building innovative solutions and capabilities to manage external fraud and payment risk across AMEX's card and banking portfolios.
We are looking for an **Analyst** **to join the Fraud, Credit Bust Out (CBO), Banking Product & Payments Business Operations team** , which will oversee how the Global fraud team meets expectations outlined in the enterprise-wide policies and governance requirements for operational and fraud risk management across both the global card and banking product portfolios. The team will be responsible for executing new programs that govern, monitor and improve the CBO and payments' group's extensive strategy execution controls, providing thematic analysis on operational issues associated with fraud processes, and creating and maintaining CBO and payments RCSAs.
Key Responsibilities
+ Support the RCSA program through administrative tasks related to process mapping, risk and control identification, assessment, and annual review
+ Support monitoring of portfolio performance by calculating prescribed metrics and participating and documenting in root cause analysis and remediation plans
+ Support through administrative tasks the timely updates of documentation and operational controls as new customer features & fraud capabilities are introduced
+ Support the execution of BU's risk assessment through analysis and data collation
* Conduct controls testing in accordance with Internal Controls Policy
* Lead victim fraud events analysis with operational risk lens and partner with functional experts to identify and remediate gaps
* Support multiple compliance and regulatory programs, such as AML/BSA SARs referrals, elder fraud abuse detection, scams detection, etc.
* Provide administrative support to evidence collection and explanatory responses to exams, audits, and any ad hoc governance requests
* Provide administrative support to Track and identify issues and fraud events as outlined by the Issues and Events Policy
Required Qualifications
* Strong project management, communication, and interpersonal skills
* Experience in process governance, with an understanding of processes that align with policies, regulatory frameworks, and/or operational standards
* Proficient analytical and problem-solving skills, with an ability to analyze data, identify trends, and evaluate Victim fraud risk scenarios effectively
* Ability to navigate through ambiguous problems and be creative
* High degree of organization, individual initiative and personal accountability
* Positive "roll-up your sleeves" attitude, a proactive mentality, and a passion to win required
Preferred Qualifications
* Bachelor's Degree in Finance, Business, Risk Mgmt., or related field; advanced degrees (e.g., MBA, MSc) or certifications are advantageous
* Understanding of critical operational risk management lifecycle activities
* GSIB Operational Risk or RCSA program experience
* Experience managing operational risk events
* Prior fraud experience
GUARDIAN
**Qualifications**
We back you with benefits that support your holistic well-being so you can be and deliver your best. This means caring for you and your loved ones' physical, financial, and mental health, as well as providing the flexibility you need to thrive personally and professionally:
+ Competitive base salaries
+ Bonus incentives
+ Support for financial-well-being and retirement
+ Comprehensive medical, dental, vision, life insurance, and disability benefits (depending on location)
+ Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need
+ Generous paid parental leave policies (depending on your location)
+ Free access to global on-site wellness centers staffed with nurses and doctors (depending on location)
+ Free and confidential counseling support through our Healthy Minds program
+ Career development and training opportunities
American Express is an equal opportunity employer and makes employment decisions without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran status, disability status, age, or any other status protected by law.
Offer of employment with American Express is conditioned upon the successful completion of a background verification check, subject to applicable laws and regulations.
**Job:** Risk
**Primary Location:** India-Haryana-Gurugram
**Schedule** Full-time
**Req ID:** 25014959

**Description**
At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our customers, communities, and colleagues. As part of Team Amex, you'll experience this powerful backing with comprehensive support for your holistic well-being and many opportunities to learn new skills, develop as a leader, and grow your career.
Here, your voice and ideas matter, your work makes an impact, and together, you will help us define the future of American Express.
**Functional Description**
The Global Risk & Compliance Organization ("GRC") is a group sitting in the Second Line of Defense and independently oversees the company's risk-taking and risk management activities, including the comprehensive identification, management, and mitigation of risks within the Company's risk appetite. GRC ensures the company operates in a safe, sound and fully compliant manner within all applicable regulatory expectations. We create and maintain the overall risk management framework while ensuring legal and regulatory compliance.
**How will you make an impact in this role?**
We are seeking a Manager, Network Governance, to join our Enterprise Risk Management and Risk Oversight (ERM&RO) function within GRC. The successful candidate will establish a governance framework to enhance oversight over our Global Network Services' (GNS) partners and network infrastructure, drive governance and operational excellence, and minimize risk to drive flawless payments processing globally for American Express. Our culture in Global Risk & Compliance is all about thinking outside the box, challenging the status quo and striving to be best-in-class.
**Responsibilities**
+ Create a governance framework for the Network Business globally
+ Conduct independent oversight of technology, cyber security, business disruption and third-party risk management practices, including risks generated by business processes or that occur due to the use of Technology.
+ Learn technology, cyber security, business continuity management and third-party risk processes at American Express, demonstrating strong levels of curiosity and willingness, in order to present an effective credible challenge.
+ Develop and enhance data-driven key risk indicators and key performance indicators that provide real time and meaningful insights into the risk and performance trends.
+ Partner with the first line of defense partners to prioritize work and lead operational readiness and change management program in response to regulatory mandates
+ Leverage industry & regulatory expertise to design and implement frameworks that enable GNS business teams to drive remediation of significant exposures and control gaps
+ Provide thought-leadership and effectively challenge the first line of defense teams on the roll out of new and / or enhanced partner monitoring and reporting
+ Enhance Global Network Services oversight and governance practices
**Preferred Qualifications**
+ 5-7 years of risk management experience in FinTech, financial services, IS/IT/BD risk based work, or payments and networks
+ Advanced degree in Business, Finance, Risk Management, or a related field is required
+ Proven ability to identify risks, analyze issues and derive meaningful insights about risk trends by conducting interviews and analyzing large volumes of data.
+ Experience in risk management frameworks and standards across cyber security, information technology, 3rd party, business continuity management.
+ Understanding of risk assessment methodologies, frameworks, and industry standards (e.g. COSO, COBIT, ISO 27001, FAIR or NIST RMF) preferred
+ Excellent communication and stakeholder management skills, with the ability to influence and collaborate with senior executives and cross-functional teams
+ Ability to think strategically, manage complex projects, and deliver results in a fast-paced, dynamic environment
+ Strong understanding of financial services regulations and risk management best practices
**Qualifications**
We back you with benefits that support your holistic well-being so you can be and deliver your best. This means caring for you and your loved ones' physical, financial, and mental health, as well as providing the flexibility you need to thrive personally and professionally:
+ Competitive base salaries
+ Bonus incentives
+ Support for financial-well-being and retirement
+ Comprehensive medical, dental, vision, life insurance, and disability benefits (depending on location)
+ Flexible working model with hybrid, onsite or virtual arrangements depending on role and business need
+ Generous paid parental leave policies (depending on your location)
+ Free access to global on-site wellness centers staffed with nurses and doctors (depending on location)
+ Free and confidential counseling support through our Healthy Minds program
+ Career development and training opportunities
American Express is an equal opportunity employer and makes employment decisions without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran status, disability status, age, or any other status protected by law.
Offer of employment with American Express is conditioned upon the successful completion of a background verification check, subject to applicable laws and regulations.
**Job:** Risk
**Primary Location:** India-Haryana-Gurugram
**Schedule** Full-time
**Req ID:** 25014513