Legal and Compliance Officer

2 days ago

Ahmedabad, Gujarat, India Vaishali Securities Ltd Full time ₹ 7,20,000 - ₹ 9,60,000 per year

Department: Compliance / Legal & Regulatory Affairs

Reports To: Head of Compliance / CEO / Board of Directors

Key Responsibilities

· Regulatory Liaison:

    • Act as the Single Point of Contact (SPOC) between the NBFC and regulators (RBI, CICs, Ombudsman, etc.).
    • Handle all official communications and queries from the RBI regarding inspections, audits, and compliance matters.

· Grievance Redressal:

    • Receive, record, and address customer complaints in line with RBI Fair Practices Code.
    • Ensure timely resolution of complaints within regulatory timelines (e.g., 30 days).
    • Prepare periodic reports on grievance status for submission to regulators and management.

· Compliance Monitoring:

    • Ensure company policies and practices are in full compliance with RBI guidelines for NBFCs, including KYC/AML, CIC reporting, and digital lending norms.
    • Serve as the official liaison with Credit Information Companies (CICs) for credit data reporting.
    • Oversee accurate and timely submission of regulatory returns (DNBS filings, CIR submissions, statutory reports).

· Audit & Inspections:

    • Facilitate internal and external audits, as well as RBI inspections.
    • Provide required documentation, explanations, and data to auditors and regulators.

· Policy Development & Training:

    • Assist in drafting and updating compliance-related policies.
    • Train staff (customer service, operations, collections) on grievance handling and compliance protocols.

· Reporting:

    • Prepare reports for the Board/Audit Committee on compliance status, customer complaints, and regulatory interactions.
    • Maintain comprehensive documentation of all communications with RBI and other regulators.

Qualifications

· Education:

    • Bachelor's Degree in Law, Finance, Business Administration, or a related field.
    • Preferred: Master's Degree (MBA / LLM / Chartered Accountant / Company Secretary).

· Experience:

    • Minimum 5–7 years of experience in compliance, legal, audit, or regulatory affairs, preferably in NBFCs, banks, or fintech companies.
    • Prior experience in direct liaison with regulators (RBI, SEBI, IRDAI, etc.) is highly desirable.

· Skills & Knowledge:

    • Strong knowledge of RBI NBFC Master Directions, Fair Practices Code, KYC/AML regulations, and Digital Lending Guidelines.
    • Excellent communication skills, both written and verbal, in English and local language.
    • Strong problem-solving and decision-making abilities.
    • Ability to coordinate across departments (Finance, Legal, Operations, IT).

· Other Requirements:

    • High integrity, attention to detail, and ability to maintain confidentiality.
    • Must be available as an official public contact point (name and contact details published on the NBFC's website as per RBI requirement).
    • Willingness to attend meetings with regulators (RBI, CICs, Ombudsman) as needed.

Job Type: Full-time

Pay: ₹40, ₹80,000.00 per month

Benefits:

  • Commuter assistance
  • Health insurance
  • Internet reimbursement
  • Leave encashment
  • Paid sick time
  • Work from home

Application Question(s):

  • Current CTC?
  • Expected CTC?
  • Can You Join Immediately, if yes then how many days?

Experience:

  • in legal and regulation compliances: 5 years (Required)

Work Location: In person

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