Compliance Lead

4 weeks ago

Chennai, India Vivriti Capital Full time

Key Responsibilities

Roles & Responsibilities of Lead – Compliance - NBFC

  • Assist the Board and the Senior Management in overseeing the implementation of Compliance Policy, including policies and procedures, prescriptions in Compliance Manuals, internal codes of conduct, etc.
  • Take care of secretarial work and manage all board and board constituted agendas, notices and minute.
  • Play significant role in identifying the level of Compliance risk in the organisation. The Compliance risks in existing / new products and processes shall be analysed and appropriate risk mitigants put in place.
  • Assist Chief Compliance Officer (CCO) in discharging roles w.r.t. review of 'new product' and attending new product discussions at Credit Committee level. All new products shall be subjected to intensive monitoring for at least the first six months of introduction to ensure that the indicative parameters of Compliance risk are monitored.
  • Ensure compliance of regulatory/ supervisory directions given by RBI in both letter and spirit in a time-bound and sustainable manner. RBI will continue to expect an effective Compliance Program where all Risk Mitigation Plan (RMP) / Monitorable Action Plan (MAP) points are complied with within the timelines prescribed. Unsatisfactory compliance with RMP/MAP may invite penal action from RBI.
  • Attend to compliance with directions from regulators such as RBI, SEBI, MCA, FIMMDA, FIU-IND, NESL, Stock Exchange, etc. Should be able to handle the team to manage all periodical and event-based compliances, as applicable.
  • Preparing responses wherever required for internal & external queries seeking clarifications / interpretation of various regulatory and statutory guidelines w.r.t. business of company.
  • Manage corporate governance practices and ethics in various work practices w.r.t. related party transactions, intercompany loans & advances, SEBI PIT Code, internal restructuring etc.
  • Undertake / arrange for trainings and KT sessions for internal teams, including Compliance function on areas of relevance and as statutorily required.
  • Coordinate with auditors, legal counsels, or any other professionals for day-to-day audit engagements and certifications.
  • Manage institutional investors and their periodical compliance requirements arising from SHA-SSA.
  • Lead simultaneously projects through designated teams, including stakeholders management throughout.
  • Problem solving abilities to sail through the challenges and dynamics of a startup culture and fast growing NBFC.

Experience Profile:

  • CS & LLB experience with 8-10 years' work experience
  • BFSI especially NBFC experience a must
  • Must have dealt directly with RBI/NHB as a regulator
  • Must have dealt with Senior Board Members & Independent Directors in the past assignment
  • Take ownership of and strengthen the Compliance culture at the organisation


Desired Skills:

  • You will be responsible for handling the entity’s compliance, operations, and secretarial activities.
  • Possess relevant secretarial experience, preferably in NBFC and asset management sector.
  • Good understanding of financial sector and NBFCs in specific.
  • Should be equipped to do research under RBI SBR framework, SEBI LODR, Companies Act, FEMA, regulations related to securitisation, co-lending and factoring.
  • Should be dynamic and a team-player at the same time should be able to handle independently the given tasks.
  • Possess good oral, written communication, and interaction skills.
  • Must possess good drafting skills.
  • Be ambitious and passionate as we are and ability to work effectively under pressure.

Work Environment details

  • Founder-led entrepreneurial set-up which is defined by speed, agility and creativity
  • Highly empowered and critical role, which makes a difference to Vivriti Capital
  • Young, energetic, and highly talented Teams
  • Hard work is the defining aspect of the organization

Job Location: Chennai

Mode of Work: Work from office

Who We Are?

Vivriti is a young, dynamic, and spirited institution that boasts of a large appetite for success through its vision of creating the largest and most valuable platform for enterprise finance. The word ‘Vivriti’ means progress or development and speaks volumes about our passion to continuously strive for results that add value to our ecosystem. At Vivriti, we are mission driven, challenging the status quo each day, reinventing the Indian debt market space and creating an industry in itself.

Over the last four years, the group that consists of two companies – Vivriti Capital, a unique enterprise fintech NBFC, and Vivriti Asset Management, India’s fastest growing digital alternate debt fund manager, has built significantly on its vision. Vivriti presently manages assets in excess of US $ 1.2 billion, has offices in Chennai, Mumbai, and Bangalore, and consists of a high-powered team of 350+.

Why Join Us?

The force driving the business prowess of Vivriti is, the powerful Talent Engine. We are a high energy and supremely passionate bunch of individuals. This is a diverse group of people, who would be best in what they do, are diverse and inclusive, are collaborative and extremely hardworking. Indeed, a very inspiring peer group. This is a team with a shared goal of reshaping the Indian Fixed Income market and change lives of millions of people through our work.

We have a keen eye for great Talent, have an appreciation for potential, and an environment which facilitates hyper-performance. Vivriti is known to present with the platform to excel for those who have a desire to reach great heights in their career. We nurture our Talent with great care, encourage ambition, we are compassionate in your failures and cheer your successes. We’re proud of our collaborative culture; everyone is ready to lend a helping hand, whether it’s your first day on the job or your thousandth.

Our Rewards mechanisms are aggressive. High Performance fetches non-linear Rewards. In addition to the fixed component and variable pay, we ensure long term wealth creation for our critical employees through employee stock options. Vivriti is the first tech focused NBFC and asset manager that has provided ESOP liquidity in the last 15 years.

We invest in our employees through developmental programs, Professional Development Allowances and Education Grants.

Our Benefits are better than the best. To list a few below –

  • Care, Life and Personal Accident Insurance, Critical illness cover.
  • free loans of up to INR 10 Lacs, with no questions asked.
  • health and wellness at the office with a well-equipped sports and recreation room, regular fitness challenges and organizing leagues of sports events.
  • for your health nutritious food, fruits served round the clock, variety of beverages, etc.

Ensuring maximum fun environment through Vivriti Premier League – a 10-month long series of sporting contests, recreation activities on the floor, cultural celebrations, etc.

Life at Vivriti:

Technology Team at Vivriti:

Founder’s Talk:

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