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Senior Compliance Professional

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Job opportunity for a Compliance Officer role in a Leading Financial Institution.

The ideal candidate will ensure adherence to RBI and SEBI regulations, support governance processes, manage audits and inspections, and provide compliance guidance to senior leadership and board-level committees.

  • Key Responsibilities:

  • Regulatory Monitoring & Implementation

    • Continuously track and evaluate regulatory updates relevant to the organization.
    • Assess the impact of regulatory changes on policies and business processes.
    • Disseminate updates to senior management and ensure timely implementation.

  • Compliance Advisory & Governance

    • Ensure strict adherence to RBI and SEBI guidelines.
    • Provide compliance advisory to business teams on loan proposals and related matters.
    • Present compliance updates and key issues to the Board and board committees.

  • Reporting & Communication

    • Prepare and submit periodic returns to RBI and other regulators.
    • Act as the single point of contact for regulatory queries and clarifications.
    • Coordinate with group entities to share compliance updates and submit data.

  • Testing & Review

    • Develop and implement the annual compliance testing plan.
    • Report significant compliance lapses to the Audit Committee and senior leadership.
    • Conduct regular compliance reviews and test internal controls across departments.

  • Audit & Inspection Management

    • Lead annual RBI inspections, statutory and internal audits, and other regulatory reviews.
    • Ensure audit readiness, effective participation, and timely closure of audit findings.

  • Legal

    • Handle legal matters including contracts, compliance, litigation, and regulatory affairs.

Required Skills and Qualifications:

  • Bachelor's or Master's degree in Law, Finance, or related field.
  • 7–13 years of experience in regulatory compliance, preferably in banking or NBFC sector.
  • Strong understanding of RBI and SEBI regulations and financial compliance frameworks.
  • Excellent communication, analytical, and stakeholder management skills.
  • Experience in handling audits, inspections, and board-level presentations.

Preferred Attributes:

  • Certification in Compliance, Risk Management, or related areas.
  • Experience in policy drafting and governance.
  • Familiarity with compliance systems and automation tools.