Job Description
Our client a listed Finance Company needs -
Post : Compliance Head
Reporting to : Managing Director
Location : Andheri W, Mumbai
Experience : Min 5 years
Qualification : CS / LLB / CA Compliance Specialist
Salary : 25 LPA
Role
To Ensure our client is in full compliance with RBI regulations, the Companies Act, SEBI LODR, applicable NBFC guidelines AML / PMLA norms and corporate-governance standards while building robust compliance systems, SOPs and a strong compliance culture across the organisation.
Job Profile
Regulatory Compliance & RBI Returns
- Ensure 100% accurate and on-time filing of all RBI returns, statutory reports and event-based submissions.
- Own and maintain the enterprise compliance calendar and makerchecker review discipline; close regulatory observations sustainably.
- Safeguard CKYC / KYC operational integrity across PAN, Aadhaar and document-verification workflows.
Corporate & Secretarial Compliance (Listed Entity)
- Oversee Board and Committee governance notices, agendas, board notes, resolutions and minutes.
- Ensure on-time ROC, SEBI LODR and stock-exchange filings, and maintain statutory registers and secretarial records.
AML / PMLA & Financial-Crime Compliance
- Design,implement and continuously strengthen the AML / PMLA framework; ensure timely STR / CTR filings and insider-trading controls.
- Drive annual AML, ethics and compliance training across the organisation.
Monitoring, Risk & Governance
- Proactively identify regulatory and compliance risks and ensure high-risk gaps are remediated promptly.
- Present a monthly compliance dashboard to the MD and senior management; ensure CERSAI and security-interest compliance across the secured portfolio.
Regulatory & Board Stakeholder Management
- Act as the primary interface with RBI, SEBI, ROC and other regulators; lead inspection readiness and drive prevention of repeat observations.
- Prepare and present materials to the Board Audit / Compliance Committee.
Leadership, Culture & Team
- Build a strong compliance culture and a zero-tolerance stance on shortcuts and ethical breaches; lead, mentor and retain a capable team
Experience & Knowledge
- Listed-entity secretarial compliance experience (SEBI LODR, ROC, stock-exchange filings) strongly preferred.
- Strong grounding in RBI Master Directions & NBFC regulations (incl. Scale Based Regulation), Companies Act 2013, AML/PMLA, FIU-IND reporting, CKYC and CERSAI.
- Progressive compliance experience within NBFC / BFSI with hands-on ownership of RBI regulatory filings
Candidate Profile
Qualifications
- Company Secretary (CS), LLB or Chartered Accountant (CA) a recognised compliance-specialist qualification is essential.
- Additional certifications in AML / compliance / corporate governance are an advantage.
Leadership & Behavioural Competencies
- Ownership & Accountability takes visible personal ownership of outcomes without deflection.
- Communication, Influence & Executive Presence communicates with context and rationale; a calm, credible presence.
- Resilience & Leading Through Change maintains composure under regulatory pressure and steadies the team through change.
- Ethical Conduct & Integrity upholds the highest standards and champions a zero-tolerance culture for shortcuts.
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Email CV to resume@jobspothr.com with current salary and notice period. Pls mention in your cv your Date of Birth and current location in Mumbai
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Good Luck !
Rgds
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