Compliance Professional - FinTech - CA/CS/LLB

Compliance Professional (with progression to Chief Compliance Officer) Mumbai

Job Requirement:

- CA / CS / LLB

- Currently working with NBFC in compliance department or in Law firm handling compliance advisory to NBFC

- 5-8 years of relevant experience in compliance.

- In-depth knowledge of RBI NBFC regulations. Knowledge of IRDA guidelines is an added advantage.

- Strong analytical, leadership, and communication skills.

- High ethical standards and integrity.

Key Responsibilities:

- Ensure adherence to all applicable RBI and IRDA guidelines, circulars, and Master Directions related to NBFCs.

- Maintain updated knowledge of relevant financial, legal, and regulatory developments.

- Monitor compliance with Know Your Customer (KYC), AML/CFT, Outsourcing Guidelines, Fair Practice Code, Credit Bureau norms, Companies Act, etc.

- Monitor the compliances by the Lending Service Providers (LSP) and ensure the enforcement of such compliances is sufficiently covered under the LSP agreement.

- Design and implement internal control systems to monitor compliance and prevent violations.

- Identify potential areas of compliance vulnerability and risk.

- Implement corrective action plans to mitigate compliance risks.

- Act as the nodal point of contact for all compliance-related communication with the RBI and other regulatory bodies.

- Ensure timely filing of regulatory returns, statements, and responses to notices.

- Develop and implement a compliance training program for employees and management.

- Promote a strong compliance culture across the organization.