Compliance Officer-NBFC

3 days ago

Borivali, India Thakur Fininvest Pvt. Ltd. Full time

Job description

We are seeking an experienced Compliance Officer (CO) who is responsible for ensuring that the company complies with all applicable regulatory requirements as per RBI guidelines Companies Act, and any other relevant laws or standards. The role is crucial in ensuring the NBFC operates within legal boundaries while maintaining its ethical standards.

Role & responsibilities :

1.Regulatory Compliance

  • Monitor compliance with the RBIs Scale-Based Regulation (SBR) guidelines specific to Mid-Layer NBFCs.
  • Ensure timely submission of regulatory returns to RBI and other statutory authorities.
  • Stay abreast of regulatory changes and ensure prompt implementation within the organization.

2.Compliance Framework

  • Design and implement a comprehensive compliance policy and manual tailored for Mid-Layer NBFCs.
  • Develop systems for early detection of compliance risks.
  • Regularly review internal policies and procedures for alignment with regulatory changes.

3.Monitoring & Reporting

  • Conduct periodic compliance audits and risk assessments.
  • Submit regular reports on compliance status to senior management and the Board.
  • Maintain records of all compliance-related documentation.

4.Training & Advisory

  • Educate and train employees on compliance obligations.
  • Serve as the key contact person for internal departments for all compliance-related matters.
  • Provide advisory support to the business in launching new products, entering new markets, or modifying existing processes.

5.Liaison & Communication

  • Act as a liaison between the company and regulators (RBI, FIU, MCA, etc.).
  • Handle inspections and queries from regulatory bodies efficiently.

Preferred candidate profile :

  • In-depth knowledge of regulatory requirements (RBI, Companies Act, PMLA etc.)
  • Strong understanding of risk management and internal control systems.
  • Excellent communication and interpersonal skills.
  • Strong analytical and problem-solving ability.
  • Ability to handle inspections and respond to regulatory findings.
  • Must have hands-on experience in dealing with RBI regulations, especially those applicable to Mid-Layer NBFCs under the Scale-Based Regulation framework
  • Must report to CFO

Interested Candidates Please send your resumes at-

  • Lead- Treasury and Finance

    3 days ago

    Borivali, India Finodaya Capital Full time

    Role & responsibilities Treasury, Investor and Lender Relations Lead Asset Liability Management (ALM) for the NBFC. Drive fundraising and equity capital initiatives, managing end-to-end engagement with lenders and investors. Develop and maintain strong relationships with existing and prospective stakeholders. Prepare and present quarterly financial updates,...

  • Security and Compliance Officer

    2 weeks ago

    Borivali West, Mumbai, Maharashtra, India Global Advertisement Pvt. Ltd Full time

    **Job Title: Security and Compliance Officer** **Location: Borivali West, Mumbai** **Company: Global Advertisers Pvt Ltd** Global Advertisers Pvt Ltd is seeking diligent and experienced retired police officers to join our team as Security and Compliance Officers. The primary responsibilities include monitoring CCTV cameras, ensuring billboards and...

  • Company Secretary

    2 weeks ago

    Borivali, Mumbai, Maharashtra, India Ms Jain V & co Full time

    _**Only Qualified Company Secretary from ICSI can Only Apply**_ **Role - Company Secretary : Legal & Compliance Officer** - **Compliance of Listed company**: - Ensuring the delivery of allotment and registration information to the registrar - **Annual return filing**: - Complying with the law and filing annual returns - Releasing the statutory declaration...

  • Sr. Manager/AVP

    2 days ago

    Borivali, India Piramal Finance Full time

    Overview: This role offers exposure to the core of treasury operations, including coordination with banks, monitoring payments, and supporting compliance activities. It provides an opportunity to learn regulatory processes, interact with key stakeholders, and build strong financial and operational expertise. Ideal for candidates looking to strengthen their...

  • Chief Financial Officer

    3 days ago

    Borivali, India Bimakart Full time

    We're Hiring a CFO Location: Mumbai, Maharashtra BimaKart is building the future of insurance in India, and we need a visionary Chief Financial Officer (CFO) to lead our financial strategy. This is your chance to design, build, and scale financial systems at a high-growth InsurTech while ensuring IRDAI, RBI, and financial compliances are rock-solid. What...

  • Office 365, Azure

    2 days ago

    Borivali, India EC Council Full time

    EC-Council is the worlds largest cyber security technical certification body. We operate in 145 countries globally and we are the owner and developer of various world-famous cyber security programs. We are proud to have trained and certified over 220,000 information security professionals globally that have influenced the cyber security mindset of countless...

  • CS Trainee

    3 days ago

    Borivali, India Piramal Finance Ltd. Full time

    Education: Graduate in Commerce, Law, or relevant field. Registered student of the Institute of Company Secretaries of India (ICSI). Eligible for long-term practical training as per ICSI guidelines (around 21 months). Location: Kurla, Mumbai (Piramal Finance Office) Skills & Attributes: Strong interest in corporate compliance, governance, and regulatory...

  • Office Administrator

    4 days ago

    Borivali, Mumbai, Maharashtra, India Sirius Cleantech Private Limited Full time

    **Job description** We are looking for a reliable Office Administrator. They will undertake administrative tasks, ensuring the rest of the staff has adequate support to work efficiently. The office administrator ensures the smooth running of our company’s offices and contributes in driving sustainable growth. **Responsibilities** - Coordinate office...

  • Liaison Officer

    2 weeks ago

    Borivali West, Mumbai, Maharashtra, India global Advertisers Pvt Ltd Full time

    Position Title: Liaison Officer Location: Borivali West Reporting to: Director **Job Summary**: The Liaison Officer in the advertising agency is responsible for managing office documentation processes and representing the agency in interactions with government offices and regulatory authorities as required. This role involves overseeing document...

  • Chief Financial Officer

    3 days ago

    Borivali, India Velocity Full time

    Financial strategist with 10+ years in senior finance roles. Experience in M&A, fundraising, or high-growth environments is a big plus. Strong background in financial planning, risk management, compliance. corporate fin, financial modeling, analysis.