NBFC Compliance-8-15-Years-Prabhadevi

4 weeks ago

Mumbai, India Mangalam Placement Pvt Ltd. Full time

Role : NBFC Compliance

Location : Prabhadevi

Experience : 8 to 15 Years

Qualification : LLB,CS

Job Description :

We are seeking an experienced and detail-oriented Compliance Officer to join our team and ensure regulatory compliance for our NBFC operations. The ideal candidate will have hands-on experience with RBI regulations, Companies Act compliance, SEBI LODR norms, and handling of secretarial activities.


Key Responsibilities

Regulatory & RBI Compliance

Ensure compliance with RBI Master Directions, circulars, and amendments applicable to NBFCs.

Timely submission of statutory returns, filings, and intimations with the Reserve Bank of India (RBI).

Track and implement regulatory changes across lending and investment activities.


\"Policy & Process* Implementation

Finalize and implement company-wide compliance policies.


Set up internal compliance monitoring processes for various business verticals.


Business Coordination

Work with internal business functions to ensure all lending/investment operations are in accordance with RBI provisions.


Secretarial Activities

Conduct Board and Committee meetings, prepare agendas and minutes.


Liaise with shareholders, directors, and regulators for governance matters.



Audit & Inspection

Handle RBI inspections, statutory/internal audits, and secretarial audits.


Coordinate and close audit findings in a timely and efficient manner.


Companies Act & Secretarial Compliance

Ensure compliance with the Companies Act, and Secretarial Standards.


Maintain statutory registers and file necessary e-forms with MCA.


Listed NCD Compliance (SEBI LODR)

Handle disclosures under SEBI (LODR) Regulations, 2015.


Ensure compliance with Stock Exchanges and Debenture Trustees for listed Non-Convertible Debentures (NCDs).


Draft offer documents, Debenture Trust Deeds, Hypothecation cum Mortgage Deeds, and corporate action forms.


Corporate Governance

Prepare AGM/EGM notices, Board Reports, Corporate Governance Reports, and coordinate with stakeholders for corporate filings.

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