AVP Compliance

2 days ago

Mumbai, India Shapoorji Pallonji Finance Full time

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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