Head of Compliance
Head of Compliance
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Job Description
Head of Compliance
Location: Mumbai
Experience: 15 20 Years
Roles & Responsibilities:
a.Lead the entire compliance function endtoend for the NBFC.
i. Establish and implement all the compliance policies that are applicable to NBFCs. Regularly
review and upgrade the policies as required by regulation.
ii. Build and implement processes and systems to ensure smooth functioning of the NBFC w.r.t
compliance function.
iii. Review and ensure timely and accurate submissions of various regulatory filings are on time
and accurate.
iv. Facilitate establishing an audit program for the NBFC.
b. Stakeholder management
i. Monitor regulatory changes assess impact on business provide comments on consultative
papers and act as a Nodal point of contact between the Company and the Reserve Bank of
India (RBI) and to be a participant to the consultations or other regular discussions with RBI.ii. Ensuring the timely response/ interactions thereof to the RBI onsite and offsite inspections
and be the central coordinator for any regulatory exercises.
iii. Lead and facilitate interactions with the Board Audit Committee and other committees.
Apprise all with the status of compliance with respect to the regulatory requirements and
assist them to make an informed judgment on whether the NBFC is managing its compliance
risk effectively.
c. Value addition
i. Get deeply involved with the Product team in creation of financial strategies/products right
at the inception and provide understanding of applicable regulations.
ii. Interpret regulations and seek clarifications from Regulator and from the market as
required.
iii. Assess changing regulations and proactively highlight potential risk areas and implement
solutions accordingly.
for further details kindly connect: /
Stakeholder Management,Compliance,RBI Inspection,Audit,NBFC,Financial Strategy
Employment Type
Full Time
