AVP - Compliance & Secretarial

4 weeks ago

Mumbai, Maharashtra, India InCred Financial Services Full time
Role & responsibilities

Regulatory Compliance (RBI & IRDAI):

- Ensure ongoing adherence to all applicable RBI NBFC and IRDAI regulatory guidelines.
- Review and monitor timely and accurate filing of periodic returns and reports as per RBI regulations.
- Handle timely submission of ad hoc regulatory data requests and maintain liaison with RBI officials for compliance-related matters.
- Keep the company website and disclosures updated in line with regulatory requirements.

KYC/AML & PMLA Compliance:

- Ensure compliance with KYC norms and PMLA regulations across customer onboarding and ongoing monitoring.
- Support the implementation and oversight of KYC and AML software systems.
- Conduct ML/TF (Money Laundering/Terror Financing) risk assessments and support suspicious transaction reviews.

Inspection & Audit Coordination:

- Lead and manage regulatory inspections, particularly by the RBI, and ensure timely and accurate responses to queries.
- Liaise with internal auditors and statutory auditors on compliance matters and provide necessary data support.
- Ensure timely closure of audit observations and implementation of recommended actions.

Policy, Process & Product Oversight:

- Review and update regulatory policies and compliance SOPs in line with legal and business requirements.
- Oversee compliance across all business products to ensure alignment with RBI norms.
- Review and vet loan documentation, customer-facing templates, and related legal documents from a compliance standpoint.
- Ensure branch-level compliance is maintained uniformly across locations.

Compliance Monitoring & Testing:

- Conduct periodic compliance testing and monitoring to evaluate adherence to internal and regulatory controls.
- Continuously assess and enhance internal control mechanisms and streamline compliance processes.
- Maintain a robust compliance risk framework, including timely reviews of the business model for emerging regulatory risks.

Preferred candidate profile

- The ideal candidate should be a qualified CA, MBA, or CS with a strong understanding of RBI and IRDAI regulatory frameworks.
- Prior experience in compliance roles within NBFCs or financial institutions is required.

  • Chief Compliance Secretary

    4 days ago

    Mumbai, Maharashtra, India beBeeSecretary Full time ₹ 8,00,000 - ₹ 12,00,000

    Job Summary:", "Secretarial Services Role", "", "Perform regular periodic compliances and other event-based compliances.", "Coordinate with internal teams for the Board & Committee Meetings, preparation of Minutes and recordings.", "Liaise with various security market intermediaries like RTAs, Stock Exchanges, SEBI, Depositories, Depository Participants...

  • Manager Secretarial and Compliance

    4 weeks ago

    Mumbai, Maharashtra, India Vahura Full time

    We are looking to connect with junior-mid (3-6 years) level compliance professionals who are also qualified Company Secretaries who maybe interested in a role with a leading NBFC in Mumbai. This is an excellent opportunity for the ones who have extensive experience in RBI Inspections, SEBI Compliance, Secretarial activities & FEMA Regulations. Professionals...

  • Senior Manager-Secretarial and Compliance

    2 days ago

    Mumbai, Maharashtra, India Vahura Full time

    Our client a leading NBFC is looking to hire a Senior Manager- Secretarial and Compliance for their 𝗠𝘂𝗺𝗯𝗮𝗶 office.An ideal candidate should have a PQE of 𝟱-𝟳 𝘆𝗲𝗮𝗿𝘀 and experience of working on secretarial matters and should be well versed in RBI and SEBI compliances.Prior experience of working with an NBFC or a debt...

  • Senior Manager-Secretarial and Compliance

    1 day ago

    Mumbai, Maharashtra, India Vahura Full time

    Our client a leading NBFC is looking to hire a Senior Manager- Secretarial and Compliance for their Mumbai office. An ideal candidate should have a PQE of 5-7 years and experience of working on secretarial matters and should be well versed in RBI and SEBI compliances. Prior experience of working with an NBFC or a debt listed entity preferred. Interested...

  • Manager - Secretarial & Compliance

    4 weeks ago

    Mumbai, Maharashtra, India Hiranandani Financial Services Full time

    SecretarialManage routine corporate actions - Increase in Share Capital, Private Placement, Rights Issue, all periodic / Annual Filings under Companies ActSubmission of various E-formsManage routine procedures on appointment / resignation of directors, KMPManage all compliances relating to NCD issuances and Listing Preparation of all secretarial...

  • Senior Manager-Secretarial and Compliance

    1 day ago

    Mumbai, Maharashtra, India Vahura Full time

    Our client a leading NBFC is looking to hire a Senior Manager- Secretarial and Compliance for their

  • Company Secretary

    3 weeks ago

    Mumbai, Maharashtra, India Sunrise Consultancy Full time

    JD For Company SecretaryEligibility -Should be an Associate Fellow Member of the Institute of Company Secretaries of India -Law Graduate from a recognised University and knowledge of legal matters will be desirable -Demonstrate commitment to carrying out tasks on time and under deadline -Excellent written oral communication and interpersonal skills ...

  • Company Secretary

    3 days ago

    Mumbai, Maharashtra, India Elegant Marbles & Grani Industries Ltd Full time

    Company Secretary...Immediate Joinee . Interested candidates can send their resume to indicating their current remunerationLocation: Lower Parel, MumbaiPosition: Company Secretary (CS)Company: Listed EntityJob Summary:We are seeking a qualified Company Secretary (CS) to join our listed company . The ideal candidate will be responsible for ensuring...

  • Am/dm- Secretarial, Compliance

    3 weeks ago

    Mumbai, Maharashtra, India Talent Leads Consultants Full time

    Job Title Assistant Manager Deputy Manager Department Secretarial Compliance and CSR Reports to Senior Manager Required Qualification Company Secretary Experience 6 to 12 Required Qualification Qualified Company Secretary Additional Qualification LLB Skill Knowledge Trainings 1 Good knowledge of Companies Act 2013 and Rules and...

  • Company Secretary

    4 weeks ago

    Mumbai, Maharashtra, India Elegant Marbles & Grani Industries Ltd Full time

    Job Vacancy: Company Secretary...Immediate Joinee – For Listed CompanyLocation: Lower Parel, MumbaiPosition: Company Secretary (CS)Company: Listed EntityJob Summary:We are seeking a qualified Company Secretary (CS) to join our listed company . The ideal candidate will be responsible for ensuring compliance with statutory and regulatory requirements under...