Chief Compliance Officer - Bfsi (7-10 Yrs)

Chief Compliance Officer

We are looking to induct self-motivated professional for the role of Chief Compliance Officer Role having 7 to 10 years of Experience in Regulatory compliance (RBI / SEBI) preferably with NBFC (Capital Market oriented)/ Private Sector Banks / Stock Broking Outfit.
Sector: Capital Markets
Location: Mumbai
Reporting into: CEO
Experience : Range of 7 to 10 years

Educational Qualifications : CS (mandatory) + LLB (optional)
Key Responsibilities :
RBI Compliance Management:
- Stay updated with RBI / SEBI regulations, circulars, guidelines, and notifications relevant to the NBFC sector.
- Develop and maintain a robust compliance framework aligned with RBI directives, ensuring regulatory adherence, SEBI directives including LODR requirements.
- Monitor changes in RBI / SEBI regulations and update compliance policies and procedures accordingly.
Securities Issuance and Compliance:
- Oversee issuance of securities (shares/debentures) and ensure compliance with Companies Act, RBI, and FEMA.
- Provide support to the Back-Office Treasury Team for issuance of Commercial Papers / Non-Convertible Debentures and ensure SEBI and RBI compliance.
Statutory Compliance and Reporting:
- Maintain and update statutory books, including registers of members, directors, and secretaries.
- Prepare and file necessary e-forms/returns with MCA/ROC and other statutory/regulatory authorities.
- Timely filing of foreign inward remittance intimation/returns with AD, RBI, and relevant authorities
- Review of Secretarial Compliance
Coordination and Support:
- Coordinate with external parties such as advisers, consultants, lawyers, and auditors, providing necessary documents and information.
Additional Responsibilities:
- Provide support to other teams on transactions or regular basis.
- Ensure timely issuance of notifications related to Board/Committee members/management.
- Assist in due diligence for corporate matters. related to potential acquisition targets.
- Handle annual filings with MCA/ROC, RBI, and other authorities.
- Provide timely updates to Management / Board on new regulations and its impact on the Company
Key Requirements:
- Thorough understanding of RBI / SEBI regulations, guidelines, and directives applicable to NBFCs.
- Strong analytical skills, attention to detail, and ability to interpret complex regulatory requirements.
- Excellent communication and interpersonal skills, with the ability to interact effectively with regulators, senior management, and other stakeholders