Compliance Officer

4 hours ago

Mumbai Maharashtra India, Maharashtra FatakPay Full time

Job Title: Compliance Officer (with NBFC Experience only)

Location: Mumbai, India

Reporting To: Chief Executive Officer / Head of Compliance

Department: 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.

Industry

  • Financial Services, NBFC

Employment Type

· Full-time - Mumbai (Andheri East)

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