AVP Compliance – RBI Regulatory Compliance

4 days ago

Mumbai, Maharashtra, India Shapoorji Pallonji Finance Private Limited Full time

Location: Mumbai

Experience: 4–8 years (preferably in NBFC/BFSI sector)

Industry: Financial Services / NBFC / BFSI / FinTech

About the Role

We are looking for a qualified and detail-oriented Compliance Manager (RBI & Corporate Law) to join our team. This role is crucial in ensuring that we meet all regulatory requirements under RBI Scale-Based Regulation (SBR) for NBFCs, while also supporting corporate secretarial functions.

This position is ideal for professionals with hands-on experience in NBFC compliance, RBI communication, and governance frameworks, who are excited to work at the intersection of regulatory compliance and corporate governance.

Key Responsibilities

RBI Regulatory Compliance – Core Focus Area

  • Ensure end-to-end compliance with RBI norms applicable to NBFC-ND-SI-ML, including Scale-Based Regulations, KYC Directions, and Outsourcing Guidelines.
  • Timely submission of regulatory filings and reports via RBI portals – CIMS, Daksh, FIU-IND, and others.
  • Monitor and analyze RBI circulars, prepare implementation notes, and ensure organization-wide compliance.
  • Draft, implement, and periodically review internal policies in line with RBI directives.
  • Manage correspondence and respond to RBI communications, inspections, audits, and scrutiny.
  • Maintain and update the Regulatory Compliance Calendar, tracking and ensuring timely completion of tasks.
  • Provide compliance input to business teams on related party transactions, group exposure, outsourcing, borrowings, and guarantees.

Corporate Secretarial & Governance Support – Secondary Responsibility

  • Organize and conduct Board Meetings, Committee Meetings, and Shareholder Meetings.
  • Draft notices, agendas, resolutions, and minutes; maintain actionable trackers.
  • Support in drafting and filing statutory documents with ROC/MCA.
  • Assist in fundraising activities such as issuing NCDs and Commercial Papers, ensuring RBI and SEBI compliance.
  • Work with the CSR team on eligibility checks, compliance, and documentation related to CSR initiatives.
  • Coordinate and manage statutory, secretarial, and compliance audits.
  • Contribute to the preparation of the Annual Report, Board's Report, and other governance disclosures.

Qualifications

  • Qualified Company Secretary (CS); Additional legal or compliance certifications preferred.
  • 4–8 years of relevant experience in NBFC or BFSI sector, with strong exposure to RBI regulations.

Required Skills

  • In-depth knowledge of Companies Act, 2013, Secretarial Standards, RBI NBFC guidelines, and relevant financial regulations.
  • Proficient in MS Word, Excel, PowerPoint.
  • Strong understanding of financial statements, including balance sheets and P&L.

Preferred Skills

  • Excellent interpersonal and stakeholder management abilities.
  • Strong communication and presentation skills.
  • Organized, deadline-driven, and calm under pressure.
  • Analytical thinking and high attention to detail.

Why Join Us?

  • Work with a fast-growing, compliant-first NBFC backed by a strong corporate governance culture.
  • Gain exposure to diverse areas of regulatory and corporate compliance.
  • Be part of a purpose-led organization working at the forefront of financial innovation.

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