Compliance Officer
2 weeks ago
Job Title: Compliance Officer (with NBFC Experience only)Location: Mumbai, IndiaReporting To: Chief Executive Officer / Head of ComplianceDepartment: Compliance Job Summary:We are seeking a highly skilled and detail-oriented Compliance Officer to lead the identification, assessment, and mitigation of risks, and to ensure full compliance with applicable laws, regulations, and internal policies relevant to an NBFC operating in the fintech space. The ideal candidate will bring deep knowledge of RBI regulations, digital lending guidelines, and financial sector compliance requirements, and will be pivotal in building a strong governance and risk culture. Key Responsibilities: Compliance Management:Ensure compliance with all applicable laws, including RBI regulations, Digital Lending Guidelines, PMLA, KYC/AML requirements, NBFC Master Directions, and IT Act.Develop and implement compliance policies, frameworks, and programs to meet RBI, SEBI, and other regulatory standards.Act as point of contact with regulators (e.g., RBI), manage inspections, handle queries, and ensure timely submission of returns and reports.Conduct periodic compliance audits and risk assessments.Monitor and interpret regulatory changes; initiate internal process updates and staff training accordingly.Prepare and coordinate for statutory, internal, and external audits; address audit queries and ensure audit readiness.Conduct compliance testing, risk assessments, and identify gaps or breaches; recommend and implement mitigation measures.Maintain comprehensive records of compliance activities and approve disclosures, filings, and reports required by law.Provide expert advice to management on compliance risks, contracts, agreements, and governance matters.Conduct compliance training for staff and promote a compliance culture within the organization. Policy & Governance:Draft and maintain risk and compliance policies, SOPs, and frameworks.Ensure board-level reporting on risk and compliance metrics.Support the internal audit process and assist in implementing recommendations.Lead the implementation of a whistleblower policy and compliance incident reporting framework. Qualifications & Experience:Education: CA/CS / LLB / MBA / PG in Risk Management / Finance / Compliance / Law or equivalent.Experience: 5-10 years of relevant experience in risk and compliance roles within NBFCs and Fintechs, or Banks.Strong understanding of RBI regulations, credit/lending business, digital lending ecosystem, and data privacy laws.Exposure to regulatory technology (RegTech) tools and reporting systems is a plus. Skills Required:Deep knowledge of Indian financial regulatory landscape.Strong analytical and problem-solving abilities.Excellent communication and stakeholder management skills.Ability to work independently and lead cross-functional compliance initiatives.Integrity, ethical judgment, and a risk-aware mindset.Preferred:Prior experience working with growth-stage fintech NBFCs.Exposure to RBI’s Digital Lending Guidelines and customer data protection frameworks.Experience in managing internal and external audits.IndustryFinancial Services, NBFCEmployment Type· Full-time - Mumbai (Andheri East)
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Compliance Officer
2 weeks ago
mumbai, India FatakPay Full timeJob Title: Compliance Officer (with NBFC Experience only)Location: Mumbai, IndiaReporting To: Chief Executive Officer / Head of ComplianceDepartment: ComplianceJob Summary:We are seeking a highly skilled and detail-oriented Compliance Officer to lead the identification, assessment, and mitigation of risks, and to ensure full compliance with applicable laws,...
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Compliance Officer
2 weeks ago
Mumbai, Maharashtra, India FatakPay Full time ₹ 16,70,400 - ₹ 37,56,000 per yearJob Title:Compliance Officer (withNBFC Experience only)Location:Mumbai, IndiaReporting To:Chief Executive Officer / Head of ComplianceDepartment:ComplianceJob Summary:We are seeking a highly skilled and detail-orientedCompliance Officerto lead the identification, assessment, and mitigation of risks, and to ensure full compliance with applicable laws,...
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Compliance Officer
7 days ago
Mumbai, Maharashtra, India The Premier Consultants ( Recruitment Company ) Full time ₹ 9,00,000 - ₹ 12,00,000 per yearWe're Hiring – Compliance Officer (RTA Services)Location:Mumbai | Full-Time | 5 Days | Work from Office (WFO)Are you a compliance professional with strong knowledge of SEBI regulations (AIF/PMS) and experience in RTA operations? Join a dynamic team where your expertise in financial compliance and regulatory frameworks will make a direct impact.Key...
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Compliance office
4 days ago
Mumbai, India Gretex Corporate Services Ltd Full timeSummary: As a Compliance Officer, you will play a pivotal role in safeguarding the integrity and reputation of our financial services organization by ensuring strict adherence to global and local regulatory standards. Reporting to the Head of Compliance or Compliance Manager, you will be instrumental in shaping and reinforcing a proactive compliance culture...
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Compliance Officer
5 days ago
Mumbai, India UBS Full timeIndia - Compliance, Investment Banking - Group Functions **Job Reference #** - 263469BR **City** - Mumbai **Job Type** - Full Time **Your role** - Do you have experience in providing compliance or risk advisory services to a business division? Do you enjoy advising and supporting front office colleagues to ensure compliance? Are you confident when it...
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Compliance Officer
5 days ago
Mumbai, India UBS Full timeIndia - Compliance - Group Functions **Job Reference #** - 257462BR **City** - Mumbai **Job Type** - Full Time **Your role** - Do you have experience in providing compliance or risk advisory services to a business division? Do you enjoy advising and supporting front office colleagues to ensure compliance? Are you confident when it comes to speaking up...
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Compliance office
6 days ago
Mumbai, India Gretex Corporate Services Ltd Full timeJob Description Summary: As a Compliance Officer, you will play a pivotal role in safeguarding the integrity and reputation of our financial services organization by ensuring strict adherence to global and local regulatory standards. Reporting to the Head of Compliance or Compliance Manager, you will be instrumental in shaping and reinforcing a proactive...
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Compliance Officer
1 week ago
Mumbai, India Team Search LLP Full timeUrgent hiring for of the leading payment company for Vikroli, Mumbai location Designation: Compliance Manager Salary - Upto 10 LPA Note - Non litigation / Corporate laws In this role the Compliance Manager will address complex business process requirements, industry practices, RBI rules with respect to platform services /solutions to ensure smooth...
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Compliance Officer
1 week ago
Mumbai, India SKS Enterpprises - Human Resource Planning and Management Full timeJob Title: Compliance Officer & Manager – Finance & AccountsLocation: GIFT City, GandhinagarYears of experience - 3About the RoleWe are looking for a dynamic professional who is a Chartered Accountant (CA)/ CompanySecretary (CS) to lead compliance and manage finance functions for our Fund operations in GIFTCity. This is a dual-role position involving...
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Compliance Officer
5 days ago
Mumbai, Maharashtra, India SKS Enterpprises Full timePosition Name - Compliance Officer - PMSLocation - BKC,MumbaiExperience Range - 5+ yrsMandatory Requirement:Manage Compliance aspects of Portfolio Management Services.Job Roles and Responsibilities:Ensure compliance with SEBI (Portfolio Managers) Regulations, 2020, and other applicable laws.Monitor and implement changes in SEBI circulars, PMS regulatory...
