Compliance Officer-NBFC

3 days ago

Borivli, Maharashtra, India Thakur Fininvest Pvt. Ltd. Full time ₹ 9,00,000 - ₹ 12,00,000 per year

Job description

We are seeking an experienced Compliance Officer (CO) who is responsible for ensuring that the company complies with all applicable regulatory requirements as per RBI guidelines Companies Act, and any other relevant laws or standards. The role is crucial in ensuring the NBFC operates within legal boundaries while maintaining its ethical standards.

Role & responsibilities :

1.Regulatory Compliance

  • Monitor compliance with the RBIs Scale-Based Regulation (SBR) guidelines specific to Mid-Layer NBFCs.
  • Ensure timely submission of regulatory returns to RBI and other statutory authorities.
  • Stay abreast of regulatory changes and ensure prompt implementation within the organization.

2.Compliance Framework

  • Design and implement a comprehensive compliance policy and manual tailored for Mid-Layer NBFCs.
  • Develop systems for early detection of compliance risks.
  • Regularly review internal policies and procedures for alignment with regulatory changes.

3.Monitoring & Reporting

  • Conduct periodic compliance audits and risk assessments.
  • Submit regular reports on compliance status to senior management and the Board.
  • Maintain records of all compliance-related documentation.

4.Training & Advisory

  • Educate and train employees on compliance obligations.
  • Serve as the key contact person for internal departments for all compliance-related matters.
  • Provide advisory support to the business in launching new products, entering new markets, or modifying existing processes.

5.Liaison & Communication

  • Act as a liaison between the company and regulators (RBI, FIU, MCA, etc.).
  • Handle inspections and queries from regulatory bodies efficiently.

Preferred candidate profile :

  • In-depth knowledge of regulatory requirements (RBI, Companies Act, PMLA etc.)
  • Strong understanding of risk management and internal control systems.
  • Excellent communication and interpersonal skills.
  • Strong analytical and problem-solving ability.
  • Ability to handle inspections and respond to regulatory findings.
  • Must have hands-on experience in dealing with RBI regulations, especially those applicable to Mid-Layer NBFCs under the Scale-Based Regulation framework
  • Must report to CFO

Interested Candidates Please send your resumes at-

  • NBFC Compliance

    2 days ago

    Borivli, Maharashtra, India Motilal Oswal Financial Services (MOFSL) Full time ₹ 6,00,000 - ₹ 12,00,000 per year

    Having good exposure of compliances applicable to NHB / NBFC Cos.Decent knowledge of provisions of Companies Act, 2013 and SEBI Listing regulationsEnsuring that the Company is compliant with the Master Direction/Circulars issued or amended by RBI from time to time.Submission of various Returns with Reserve Bank of India (RBI) and filing of various intimation...

  • Lead- Treasury and Finance

    3 days ago

    Borivli, Maharashtra, India Finodaya Capital Full time ₹ 15,00,000 - ₹ 20,00,000 per year

    Role & responsibilitiesTreasury, Investor and Lender RelationsLead Asset Liability Management (ALM) for the NBFC.Drive fundraising and equity capital initiatives, managing end-to-end engagement with lenders and investors.Develop and maintain strong relationships with existing and prospective stakeholders.Prepare and present quarterly financial updates,...

  • Corporate Compliance Specialist

    6 days ago

    Borivli, Maharashtra, India beBeeLegal Full time US$ 80,000 - US$ 1,20,000

    Job DescriptionThe primary responsibility for this role will be to provide support to the legal and compliance team. The position shall handle Legal and Compliance matters as designated by and under the supervision of the Director, Legal & Compliance and support members of the legal and compliance team in execution of matters. In addition, as a member of the...

  • Senior Legal Counsel

    5 days ago

    Borivli, Maharashtra, India beBeeCompliance Full time US$ 60,000 - US$ 1,20,000

    **Job Description**: We are seeking a highly skilled Legal and Compliance Specialist to join our team. The primary responsibility for this role will be to provide support to the legal and compliance team. The position shall handle Legal and Compliance matters as designated by and under the supervision of the Director, Legal & Compliance and support members...

  • Account Executive

    3 days ago

    Borivli, Maharashtra, India Thakur College of Engineering & Technology(TCET) Full time ₹ 6,00,000 - ₹ 12,00,000 per year

    Job descriptionDay to day Accounting, Finalization of Accounts, Liasoning with Bank, Cash Flow Projection/ statement, MIS, Income Tax/ GST/ TDS Compliances, Bank Reconciliation, Expert Knowledge of Income Tax Assessment, Appeal & Scrutiny matter is must.Required Candidate profileHave worked in NBFC or Real Estate or Entertainment or Education or any other...

  • Sr. Associate, Compliance

    1 week ago

    Borivli, Maharashtra, India Ares Management Corporation Full time US$ 90,000 - US$ 1,20,000 per year

    Over the last 20 years, Ares' success has been driven by our people and our culture. Today, our team is guided by our core values – Collaborative, Responsible, Entrepreneurial, Self-Aware, Trustworthy – and our purpose to be a catalyst for shared prosperity and a better future. Through our recruitment, career development and employee-focused programming,...

  • Mango Financial Advisors- National Head

    6 days ago

    Borivli, Maharashtra, India Nexthire Full time ₹ 1,04,000 - ₹ 1,30,878 per year

    Company: Mango Financial AdvisorsPosition: National Head – Sell Side Location : MumbaiExperience: 12–18 years in Investment Banking / Structured Finance / Real Estate LendingAbout UsMango Financial Advisors is a leading financial advisory and investment banking firm, specializing in real estate financing and structured debt solutions. With a strong...

  • Financial Crime Compliance Associate, India

    1 week ago

    Borivli, Maharashtra, India BlackRock Full time US$ 9,00,000 - US$ 12,00,000 per year

    About this roleFinancial Crime Compliance Associate, IndiaJob Purpose:The firm is seeking an individual to join the global Financial Crime Compliance team, based in Mumbai. The role requires an ability to help the firm mitigate a broad range of financial crime risks, including money laundering and terrorist financing, sanctions, bribery and corruption, and...

  • COM-Central Compliance

    3 days ago

    Borivli, Maharashtra, India Nomura Holdings, inc. Full time US$ 60,000 - US$ 1,00,000 per year

    Overview:Nomura is a global financial services group with an integrated network spanning approximately 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Wealth Management, Investment Management, and Wholesale (Global Markets and...

  • COM-Central Compliance

    1 week ago

    Borivli, Maharashtra, India Nomura Holdings, inc. Full time US$ 6,00,000 - US$ 12,00,000 per year

    Overview:Nomura is a global financial services group with an integrated network spanning approximately 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Wealth Management, Investment Management, and Wholesale (Global Markets and...