Compliance Manager

Job Description

Role: Compliance Manager – NBFC

Location: HSR Layout, Bangalore

Experience: 5–7 years

Position Summary

We are looking for a Compliance Manager to support and strengthen the regulatory compliance framework of our NBFC. The role will be responsible for monitoring regulatory requirements, implementing applicable RBI and other statutory guidelines, conducting compliance reviews, managing regulatory reporting, and supporting corporate governance and secretarial activities.

The candidate will work closely with internal stakeholders, auditors, legal advisors, and senior management to ensure timely and effective compliance with applicable regulatory and statutory requirements.

Key Responsibilities

1. Regulatory Compliance

• Monitor compliance with applicable RBI, PMLA, FEMA, KYC/AML and other regulatory requirements.
• Track regulatory circulars, notifications and guidelines and assess their applicability to the business.
• Support implementation of regulatory changes within defined timelines.
• Maintain compliance trackers, MIS and periodic compliance reports.
• Provide compliance guidance to business and functional teams.
• Identify compliance gaps and coordinate with stakeholders for timely remediation.

2. Compliance Monitoring & Risk Management

• Conduct periodic compliance reviews and testing across relevant functions.
• Identify potential areas of compliance risk and recommend appropriate controls.
• Support PMLA/KYC/AML compliance reviews and risk assessments.
• Monitor adherence to internal compliance policies, SOPs and regulatory requirements.
• Track and facilitate closure of internal, statutory and regulatory audit observations.

3. Regulatory Reporting

• Prepare and coordinate timely submission of applicable regulatory returns and reports.
• Maintain proper records and documentation for regulatory and audit requirements.
• Coordinate with relevant internal teams and external advisors for regulatory submissions and clarifications.

4. Corporate Governance & Secretarial Support

• Support compliance with the Companies Act and applicable Secretarial Standards.
• Assist in preparation and maintenance of Board/Committee meeting documentation, minutes and resolutions.
• Support maintenance of statutory registers, records and corporate filings.
• Coordinate with the Company Secretary, auditors and external legal advisors, as required.

5. Policies & Process Improvement

• Assist in developing and updating compliance policies, SOPs and control frameworks.
• Ensure policies are aligned with regulatory changes and business requirements.
• Conduct compliance awareness and training sessions for employees, where required.
• Identify opportunities to strengthen and automate compliance monitoring and reporting processes.

6. Stakeholder Management

• Work closely with Business, Risk, Operations, Finance, Legal, Internal Audit and other functions on compliance matters.
• Coordinate with external consultants/legal counsel on specific regulatory matters.
• Escalate significant compliance issues and risks to the appropriate management stakeholders in a timely manner.

Desired Candidate Profile

• 5–7 years of experience in Compliance, Regulatory, Secretarial or related functions within an NBFC, Bank, Fintech or Financial Services organization.
• Qualified Company Secretary (CS) preferred; candidates with a relevant Law degree (LLB/LLM) will be preferred.
• Strong understanding of RBI regulations, PMLA, KYC/AML, FEMA and Companies Act.
• Experience in regulatory compliance monitoring, reporting, audits and compliance testing.
• Good understanding of corporate governance and statutory compliance requirements.
• Strong analytical, documentation and communication skills.
• Ability to work independently, manage multiple stakeholders and meet regulatory timelines.
• High level of integrity, attention to detail and ownership.

Why Join Us?

• Opportunity to work in a rapidly scaling fintech/NBFC environment.
• Exposure to regulatory compliance, governance and risk management.
• Opportunity to build and strengthen scalable compliance processes.
• High visibility and cross-functional interaction with senior stakeholders.