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Legal and Compliance Officer

2 weeks ago

Ahmedabad, Gujarat, India Vaishali Securities Full time ₹ 15,00,000 - ₹ 20,00,000 per year

Job Description Nodal Officer

Position Title: Nodal Officer

Department: Compliance / Legal & Regulatory Affairs

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

Key Responsibilities

Regulatory Liaison:

1. - Act as the Single Point of Contact (SPOC) between the NBFC and regulators (RBI, CICs,

Ombudsman, etc.).

2. - Handle all official communications and queries from the RBI regarding inspections,

audits, and compliance matters.

Grievance Redressal:

3. - Receive, record, and address customer complaints in line with RBI Fair Practices Code.

4. - Ensure timely resolution of complaints within regulatory timelines (e.g., 30 days).

5. - Prepare periodic reports on grievance status for submission to regulators and

management.

Compliance Monitoring:

6. - Ensure company policies and practices are in full compliance with RBI guidelines for

NBFCs, including KYC/AML, CIC reporting, and digital lending norms.

7. - Serve as the official liaison with Credit Information Companies (CICs) for credit data

reporting.

8. - Oversee accurate and timely submission of regulatory returns (DNBS filings, CIR

submissions, statutory reports).

¢

Audit & Inspections:

9. - Facilitate internal and external audits, as well as RBI inspections.

10. - Provide required documentation, explanations, and data to auditors and regulators.

¢

Policy Development & Training:

11. - Assist in drafting and updating compliance-related policies.

12. - 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:
    • Bachelors Degree in Law, Finance, Business Administration, or a related field.
    • Preferred: Masters Degree (MBA / LLM / Chartered Accountant / Company

      Secretary).

      ¢

      Experience:
    • Minimum 57 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 NBFCs website as per RBI requirement).
    • Willingness to attend meetings with regulators (RBI, CICs, Ombudsman) as needed.