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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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• Ensure compliances with respect to SEBI Guidelines.
• Monitoring changes in relevant legislation and the regulatory environment and taking appropriate action.
• Carrying out periodic reviews to ensure legal compliances of trading membership (like exchange compliances, SEBI compliances, Companies Act)
• Assisting the team in organizing, preparing agenda for and recording minutes of board meetings and general meetings.

About Times Internet

At Times Internet, we create premium digital products that simplify and enhance the lives of millions. As India’s largest digital products company, we have a significant presence across a wide range of categories, including News, Sports, Fintech, and Enterprise solutions.

Our portfolio features market-leading and iconic brands such as TOI, ET, NBT, Cricbuzz, Times Prime, Times Card, Indiatimes, Whatshot, Abound, Willow TV, Techgig and Times Mobile among many more. Each of these products is crafted to enrich your experiences and bring you closer to your interests and aspirations.

As an equal opportunity employer, Times Internet strongly promotes inclusivity and diversity. We are proud to have achieved overall gender pay parity in 2018, verified by an independent audit conducted by Aon Hewitt.

We are driven by the excitement of new possibilities and are committed to bringing innovative products, ideas, and technologies to help people make the most of every day. Join us and take us to the next level!

About the Role:

As a Compliance Officer, you will be responsible for ensuring the organization’s full adherence to all regulatory and statutory requirements, particularly those set by the Reserve Bank of India (RBI). You will oversee compliance policies, risk assessment, audits, and reporting, while also managing key financial oversight responsibilities, including capital adequacy and budgeting. This role demands strong regulatory knowledge, attention to detail, and the ability to work closely with both internal teams and external regulators.

Key Responsibilities:

• Regulatory Compliance – Ensure strict adherence to RBI regulations and all applicable statutory requirements.
• Policy Development – Develop, update, and implement compliance policies, manuals, and procedures.
• Risk Assessment – Identify compliance risks, assess their impact, and implement effective mitigation strategies.
• Training & Awareness – Design and deliver compliance training programs for employees and management.
• Audit Interface – Liaise with internal and external auditors and manage RBI inspections and regulatory audits.
• Reporting – Prepare and submit compliance reports to the Board and relevant regulatory authorities in a timely manner.
• Financial Management – Oversee financial operations, including budgeting, expense control, and cash flow management.
• Capital Adequacy – Monitor Net Owned Fund (NOF) requirements, capital adequacy ratios, and develop funding strategies to ensure compliance.

Our Client: A leading full-service investment firm offering tailored financial solutions backed by deep market research, strong ethical values, and a client-first approach. The firm specializes in equity strategies through PMS and AIF platforms, focusing on long-term wealth creation with an emphasis on discipline, transparency, and simplicity. Its investment philosophy is rooted in insightful analysis, aiming to preserve and grow clients’ wealth through consistent and well-researched strategies.

Designation: Compliance Officer

Location: Gift City

Education: Company Secretary + LLB (optional)

Experience : Minimum 5 Years

About the Role:

The Compliance Officer role is focused on ensuring adherence to SEBI and IFSCA regulations, particularly for Alternative Investment Funds (AIFs). The position requires a qualified Company Secretary with a minimum of 5 years of experience in the securities market, with an LLB as an added advantage. Key responsibilities include regulatory reporting, internal audits, AML/CFT compliance, coordination with custodians and fund administrators, and reviewing legal agreements. The role demands strong knowledge of regulatory frameworks, excellent communication skills, and a high level of attention to detail, along with the ability to work closely with senior management and regulatory authorities.

Requirements:

• Company Secretary + LLB (optional) having 5 years of experience in Securities Market (5 years is must as per IFSCA Regulations).
• Regulatory Compliance: Stay updated with the latest laws, regulations, and guidelines issued by SEBI and IFSCA for AIFs. Monitor regulatory changes and effectively communicate updates to relevant stakeholders.
• Compliance reporting and monitoring: prepare and submit accurate and timely regulatory reports as required by SEBI and IFSCA.
• Ensure the completeness and accuracy of data submitted in these reports.
• Establish and maintain a system for ongoing monitoring of compliance activities related to AIF operations.
• Conduct regular audits and assessments to identify areas of non-compliance or potential risks. Implement remedial measures as needed.
• Managing Internal Audits.
• AML/CFT compliance and monitoring.
• Coordination with Custodian/Fund Accountant/Fund Admin.
• Review/drafting of legal agreements.

Behavioral:

• Good understanding of Regulatory and Legal affairs of SEBI Compliances.
• Excellent English verbal and drafting communication skills.
• Attention to detail and collaborative approach.

Key Stakeholders:

• Senior Management.
• Department Heads.
• SEBI, Depository, Stock Exchanges etc.
• Other departments etc.

About Times Internet

At Times Internet, we create premium digital products that simplify and enhance the lives of millions. As India’s largest digital products company, we have a significant presence across a wide range of categories, including News, Sports, Fintech, and Enterprise solutions.

Our portfolio features market-leading and iconic brands such as TOI, ET, NBT, Cricbuzz, Times Prime, Times Card, Indiatimes, Whatshot, Abound, Willow TV, Techgig and Times Mobile among many more. Each of these products is crafted to enrich your experiences and bring you closer to your interests and aspirations.

As an equal opportunity employer, Times Internet strongly promotes inclusivity and diversity. We are proud to have achieved overall gender pay parity in 2018, verified by an independent audit conducted by Aon Hewitt.

We are driven by the excitement of new possibilities and are committed to bringing innovative products, ideas, and technologies to help people make the most of every day. Join us and take us to the next level!

About the Role:

As a Compliance Officer, you will be responsible for ensuring the organization’s full adherence to all regulatory and statutory requirements, particularly those set by the Reserve Bank of India (RBI). You will oversee compliance policies, risk assessment, audits, and reporting, while also managing key financial oversight responsibilities, including capital adequacy and budgeting. This role demands strong regulatory knowledge, attention to detail, and the ability to work closely with both internal teams and external regulators.

Key Responsibilities:

• Regulatory Compliance – Ensure strict adherence to RBI regulations and all applicable statutory requirements.
• Policy Development – Develop, update, and implement compliance policies, manuals, and procedures.
• Risk Assessment – Identify compliance risks, assess their impact, and implement effective mitigation strategies.
• Training & Awareness – Design and deliver compliance training programs for employees and management.
• Audit Interface – Liaise with internal and external auditors and manage RBI inspections and regulatory audits.
• Reporting – Prepare and submit compliance reports to the Board and relevant regulatory authorities in a timely manner.
• Financial Management – Oversee financial operations, including budgeting, expense control, and cash flow management.
• Capital Adequacy – Monitor Net Owned Fund (NOF) requirements, capital adequacy ratios, and develop funding strategies to ensure compliance.

Our Client: A leading full-service investment firm offering tailored financial solutions backed by deep market research, strong ethical values, and a client-first approach. The firm specializes in equity strategies through PMS and AIF platforms, focusing on long-term wealth creation with an emphasis on discipline, transparency, and simplicity. Its investment philosophy is rooted in insightful analysis, aiming to preserve and grow clients’ wealth through consistent and well-researched strategies.

Designation: Compliance Officer

Location: Gift City

Education: Company Secretary + LLB (optional)

Experience : Minimum 5 Years

About the Role:

The Compliance Officer role is focused on ensuring adherence to SEBI and IFSCA regulations, particularly for Alternative Investment Funds (AIFs). The position requires a qualified Company Secretary with a minimum of 5 years of experience in the securities market, with an LLB as an added advantage. Key responsibilities include regulatory reporting, internal audits, AML/CFT compliance, coordination with custodians and fund administrators, and reviewing legal agreements. The role demands strong knowledge of regulatory frameworks, excellent communication skills, and a high level of attention to detail, along with the ability to work closely with senior management and regulatory authorities.

Requirements:

• Company Secretary + LLB (optional) having 5 years of experience in Securities Market (5 years is must as per IFSCA Regulations).
• Regulatory Compliance: Stay updated with the latest laws, regulations, and guidelines issued by SEBI and IFSCA for AIFs. Monitor regulatory changes and effectively communicate updates to relevant stakeholders.
• Compliance reporting and monitoring: prepare and submit accurate and timely regulatory reports as required by SEBI and IFSCA.
• Ensure the completeness and accuracy of data submitted in these reports.
• Establish and maintain a system for ongoing monitoring of compliance activities related to AIF operations.
• Conduct regular audits and assessments to identify areas of non-compliance or potential risks. Implement remedial measures as needed.
• Managing Internal Audits.
• AML/CFT compliance and monitoring.
• Coordination with Custodian/Fund Accountant/Fund Admin.
• Review/drafting of legal agreements.

Behavioral:

• Good understanding of Regulatory and Legal affairs of SEBI Compliances.
• Excellent English verbal and drafting communication skills.
• Attention to detail and collaborative approach.

Key Stakeholders:

• Senior Management.
• Department Heads.
• SEBI, Depository, Stock Exchanges etc.
• Other departments etc.

• Ensure compliances with respect to SEBI Guidelines.
• Monitoring changes in relevant legislation and the regulatory environment and taking appropriate action.
• Carrying out periodic reviews to ensure legal compliances of trading membership (like exchange compliances, SEBI compliances, Companies Act)
• Assisting the team in organizing, preparing agenda for and recording minutes of board meetings and general meetings.

Ensure compliances with respect to SEBI Guidelines.Monitoring changes in relevant legislation and the regulatory environment and taking appropriate action.Carrying out periodic reviews to ensure legal compliances of trading membership (like exchange compliances, SEBI compliances, Companies Act)Assisting the team in organizing, preparing agenda for and recording minutes of board meetings and general meetings.