Legal and Compliance Officer

2 days ago

Ahmedabad, India Vaishali Securities Full time

Job Description Nodal Officer
Position Title: Nodal Officer
Department: Compliance / Legal & Regulatory Affairs
Reports To: Head of Compliance / CEO / Board of Directors
Key Responsibilities

Regulatory Liaison:
1. - Act as the Single Point of Contact (SPOC) between the NBFC and regulators (RBI, CICs,
Ombudsman, etc.).
2. - Handle all official communications and queries from the RBI regarding inspections,
audits, and compliance matters.

Grievance Redressal:
3. - Receive, record, and address customer complaints in line with RBI Fair Practices Code.
4. - Ensure timely resolution of complaints within regulatory timelines (e.g., 30 days).
5. - Prepare periodic reports on grievance status for submission to regulators and
management.

Compliance Monitoring:
6. - Ensure company policies and practices are in full compliance with RBI guidelines for
NBFCs, including KYC/AML, CIC reporting, and digital lending norms.
7. - Serve as the official liaison with Credit Information Companies (CICs) for credit data
reporting.
8. - Oversee accurate and timely submission of regulatory returns (DNBS filings, CIR
submissions, statutory reports).
¢
Audit & Inspections:
9. - Facilitate internal and external audits, as well as RBI inspections.
10. - Provide required documentation, explanations, and data to auditors and regulators.
¢
Policy Development & Training:
11. - Assist in drafting and updating compliance-related policies.
12. - Train staff (customer service, operations, collections) on grievance handling and
compliance protocols.
¢
Reporting:

    • Prepare reports for the Board/Audit Committee on compliance status, customer
      complaints, and regulatory interactions.
    • Maintain comprehensive documentation of all communications with RBI and other
      regulators.
      Qualifications
      ¢
      Education:
    • Bachelors Degree in Law, Finance, Business Administration, or a related field.
    • Preferred: Masters Degree (MBA / LLM / Chartered Accountant / Company
      Secretary).
      ¢
      Experience:
    • Minimum 57 years of experience in compliance, legal, audit, or regulatory affairs,
      preferably in NBFCs, banks, or fintech companies.
    • Prior experience in direct liaison with regulators (RBI, SEBI, IRDAI, etc.) is highly
      desirable.
      ¢
      Skills & Knowledge:
    • Strong knowledge of RBI NBFC Master Directions, Fair Practices Code, KYC/AML
      regulations, and Digital Lending Guidelines.
    • Excellent communication skills, both written and verbal, in English and local language.
    • Strong problem-solving and decision-making abilities.
    • Ability to coordinate across departments (Finance, Legal, Operations, IT).
      ¢
      Other Requirements:
    • High integrity, attention to detail, and ability to maintain confidentiality.
    • Must be available as an official public contact point (name and contact details
      published on the NBFCs website as per RBI requirement).
    • Willingness to attend meetings with regulators (RBI, CICs, Ombudsman) as needed.

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