Compliance Officer

2 days ago

Nariman Point Mumbai Maharashtra, India CD Equifinance Full time

**Key Responsibilities**:

- **Regulatory Compliance**: Ensure full compliance with RBI regulations for Middle Layer NBFCs, including reporting requirements, audits, and adherence to the applicable laws.
- **Policy Implementation**: Develop, implement, and update internal compliance (all relevant) policies and procedures to align with regulatory and company standards.
- **Risk Management**: Identify potential compliance risks and take preventive measures to mitigate them.
- **Audit Coordination**: Liaise with internal and external auditors to conduct periodic compliance audits and address any discrepancies or non-conformance issues.
- **Monitoring**: Oversee the monitoring of business activities to ensure compliance with all relevant laws, regulations, and company policies.
- **Reporting**: Prepare and submit timely reports to regulatory authorities, including filings with RBI and other regulatory bodies.
- **Training & Development**: Conduct training sessions for employees to increase awareness of compliance protocols and regulatory updates.
- **Regulatory Liaison**: Act as the primary point of contact for all regulatory authorities, including RBI and other regulatory bodies.
- **Documentation**: Maintain updated records and documentation of all compliance-related activities and correspondence as per the requirements of the RBI and the Companies Act.

**Qualifications**:

- Bachelor’s or Master’s degree in Commerce, Accounts & Finance, Company Secretary, or a related field.
- Minimum of 5-7 years of experience in a compliance role, preferably in an NBFC.
- Strong knowledge of RBI regulations, financial industry laws, and other relevant regulatory bodies.

Industry Type: Investment and Trading in Shares & Securities (NBFC)
- Excellent communication, analytical, and problem-solving skills.
- Ability to manage a team and work collaboratively with other departments.
- Proven track record of working with regulatory authorities and handling audits.

Work Location
- Nariman Point

Pay: ₹700,000.00 - ₹800,000.00 per year

Schedule:

- Day shift

Work Location: In person

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