Chief Compliance Officer

Sector : Capital MarketsLocation : MumbaiReporting to : CEOExperience : 7 to 10 yearsEducational Qualifications : CS (mandatory), LLB (optional)Key Responsibilities : RBI Compliance Management : Keep abreast of RBI / SEBI regulations, circulars, guidelines, and notifications pertinent to the NBFC sector.

Develop and maintain a robust compliance framework in accordance with RBI directives, ensuring regulatory compliance and SEBI directives, including LODR requirements.

Monitor changes in RBI / SEBI regulations and update compliance policies and procedures accordingly.Securities Issuance and Compliance : Supervise securities issuance (shares / debentures) and ensure compliance with the Companies Act, RBI, and FEMA.

Support the Back-Office Treasury Team in issuing 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 Secretarial Compliance.Coordination and Support : Coordinate with external parties such as advisers, consultants, lawyers, and auditors, providing necessary documents and information.

Additional Responsibilities : Support 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.Manage annual filings with MCA / ROC, RBI, and other authorities.

Provide timely updates to Management / Board on new regulations and their 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.