Compliance Officer

6 days ago

Mumbai Metropolitan Region, India Fairdeal Corporate Advisors Pvt Ltd Full time ₹ 12,00,000 - ₹ 36,00,000 per year

Key Responsibilities

  • Regulatory Compliance & Governance
  • Ensure compliance with RBI Master Directions for NBFCs, LAS-related regulatory norms, SEBI / depository guidelines and Companies Act compliances (CS degree holder preferred).
  • Review and validate LAS documentation, lien marking, pledge creation, and release processes for adherence to regulatory standards.
  • Keep abreast of new circulars, notifications, and amendments impacting LAS operations and update internal teams accordingly.
  • Conduct periodic compliance reviews to ensure operational alignment with approved policies and procedures.
  • Policy Implementation & Review
  • Assist in drafting, reviewing, and updating LAS-related policies, Standard Operating Procedures (SOPs), and internal control frameworks.
  • Work with risk and credit teams to ensure lending practices a dhere to defined risk limits, exposure norms, and collateral management standards.
  • Support in aligning LAS processes with broader NBFC compliance and corporate governance frameworks.
  • Monitoring & Reporting
  • Monitor client-level exposures, margin call practices, and portfolio monitoring for compliance with internal and regulatory limits.
  • Prepare and submit regulatory and internal compliance reports—including audit,reports, RBI returns, and periodic MIS.
  • Track and report deviations, potential breaches, or non-compliance incidents with timely escalation and corrective actions.
  • Audit & Inspection Coordination
  • Facilitate internal, statutory, and regulatory audits, ensuring timely submission of data and resolution of audit observations.
  • Conduct internal compliance checks across business, operations, and credit functions related to LAS.
  • Maintain comprehensive documentation and evidence trails for all LAS compliance activities.
  • Stakeholder Management
  • Collaborate with Business, Operations, Risk, Credit, and Legal teams to ensure compliance is embedded into day-to-day processes.
  • Act as the point of contact for regulatory inspections or information requests specific to LAS.
  • Conduct compliance awareness and training sessions for employees handling LAS transactions.

Role Requirement

  • Graduate/Postgraduate in Law, Commerce, Finance, or related field.
  • Professional certifications such as Company Secretary (CS), LLB, or Certified Compliance Professional preferred.
  • 5–10 years of experience in NBFC / Banking / Capital Market compliance, preferably with exposure to Loan Against Securities or secured lending products.
  • In-depth understanding of RBI regulatory framework for NBFCs and LAS guidelines.
  • Familiarity with SEBI, NSDL/CDSL depository operations, and securities-based lending compliance norms.
  • Strong analytical and interpretation skills for reviewing circulars, policies, and legal clauses.
  • Excellent reporting, documentation, and audit coordination skills.
  • Proficiency in MS Excel, PowerPoint, and regulatory reporting tools.
  • High ethical standards, attention to detail, and ability to work cross-functionally.

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