Compliance Officer (NBFC experience)

Job Title : Compliance Officer (with NBFC Experience only )

Location : Mumbai, India

Reporting To : Chief Executive Officer / Head of Compliance

Department : Compliance

Job Summary :

We are seeking a highly skilled and detail-oriented Compliance Officer to lead the identification, assessment, and mitigation of risks, and to ensure full compliance with applicable laws, regulations, and internal policies relevant to an NBFC operating in the fintech space. The ideal candidate will bring deep knowledge of RBI regulations, digital lending guidelines, and financial sector compliance requirements, and will be pivotal in building a strong governance and risk culture.

Key Responsibilities :

Compliance Management :

• Ensure compliance with all applicable laws, including RBI regulations, Digital Lending Guidelines, PMLA, KYC / AML requirements, NBFC Master Directions, and IT Act.
• Develop and implement compliance policies, frameworks, and programs to meet RBI, SEBI, and other regulatory standards.
• Act as point of contact with regulators (e.g., RBI), manage inspections, handle queries, and ensure timely submission of returns and reports.
• Conduct periodic compliance audits and risk assessments.
• Monitor and interpret regulatory changes; initiate internal process updates and staff training accordingly.
• Prepare and coordinate for statutory, internal, and external audits; address audit queries and ensure audit readiness.
• Conduct compliance testing, risk assessments, and identify gaps or breaches; recommend and implement mitigation measures.
• Maintain comprehensive records of compliance activities and approve disclosures, filings, and reports required by law.
• Provide expert advice to management on compliance risks, contracts, agreements, and governance matters.
• Conduct compliance training for staff and promote a compliance culture within the organization.

Policy & Governance :

Qualifications & Experience :

Skills Required :

Preferred :

Industry

Employment Type