JOB DESCRIPTION

Compliance Manager

ROLE SUMMARY

Support the CCO in managing regulatory compliance framework, ensuring adherence to RBI and statutory requirements across lending, operations, branches, KYC/AML, collections and customer protection. Drive compliance monitoring, regulatory reporting, issue remediation and regulatory readiness.

KEY RESPONSIBILITIES

• Track and interpret applicable RBI regulations, circulars and statutory requirements; maintain the compliance register and calendar.

• Conduct compliance monitoring and testing across Credit, Operations, Collections, Branches, Customer Service, outsourcing and digital processes.

• Monitor KYC/AML/CFT, PMLA-related requirements, Fair Practices Code, customer protection, grievance redressal and collection practices.

• Support regulatory returns, RBI inspections, supervisory reviews and responses to regulatory queries.

• Maintain compliance dashboards, exception trackers and remediation status for the CCO and management.

• Monitor branch-level compliance and identify recurring/systemic gaps.

• Support development and review of compliance policies, SOPs and regulatory implementation plans.

• Conduct compliance awareness/training and maintain supporting evidence.

• Coordinate with Internal Audit and Statutory Audit on compliance matters while maintaining Internal Audit independence.

KEY DELIVERABLES / KPIs

• Timely closure of regulatory and compliance obligations

• Accurate and timely regulatory reporting

• Completion of planned compliance testing

• Timely escalation and closure of material exceptions

• Branch compliance coverage and reduction in repeat exceptions

• Reduction in material KYC/AML exceptions

• Accurate monthly/quarterly compliance MIS

CANDIDATE PROFILE

7–12 years of relevant experience in an NBFC, NBFC-MFI, Bank, HFC, Fintech or regulated financial services organisation, with hands-on experience in RBI/NBFC compliance and lending operations.

• Graduate/Postgraduate in Commerce, Finance, Law or Management; CA/CS/LLB/MBA/Compliance certification preferred.

• Strong knowledge of RBI/NBFC regulations, KYC/AML/CFT and customer protection.

• Exposure to secured/unsecured or MSME lending, branch compliance, collections and regulatory audits/inspections preferred.

• Strong analytical, documentation, stakeholder management and communication skills; high integrity and professional judgement.

IDEAL CANDIDATE

Compliance Manager / Regulatory Compliance Manager / Deputy Manager – Compliance from an NBFC, MFI, Bank, HFC or fintech, with strong hands-on exposure to RBI regulations, lending operations, KYC/AML and compliance monitoring, and the ability to translate regulatory requirements into practical operating controls.

Gurgaon / Delhi-NCR | Reporting: CCO / Head – Compliance | Role Level: Manager / Senior Manager