Compliance Professional

2 weeks ago


Mumbai, India Wave HR and Advisory Pvt Ltd Full time

Compliance Professional (with progression to Chief Compliance Officer) MumbaiJob 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. (ref:iimjobs.com)



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