Save Job Back to Search Job Description Summary Similar JobsOpportunity to lead the compliance for an NBFCOpportunity to work directly with the senior managementAbout Our ClientThe hiring organization is a medium-sized entity operating in the financial services industry, with a focus on trading. The company provides innovative solutions and aims to establish a robust compliance culture to support its business objectives.Job Description1. Regulatory Compliance & GovernanceEnsure 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.2. Policy Implementation & ReviewAssist 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 adhere to defined risk limits, exposure norms, and collateral management standards.Support in aligning LAS processes with broader NBFC compliance and corporate governance frameworks.3. Monitoring & ReportingMonitor 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.4. Audit & Inspection CoordinationFacilitate 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.5. Stakeholder ManagementCollaborate 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.The Successful ApplicantKey Skills & Competencies: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.What's on OfferA competitive salary package tailored to the financial services industry..If you are ready to take on the challenge of a Compliance Officer role in the financial services industry, we encourage you to apply today!Quote job refJN-042026-6994463Job summaryFunctionLegalSub SectorHead of ComplianceWhat is your area of specialisation?Financial ServicesLocationIndiaJob TypePermanentJob ReferenceJN-042026-6994463
