Key Accountabilities 
• Managing and Undertaking Compliance Function of the Company- An NBFC-SI regulated by various 
regulators specifically RBI, IRDAI, MCA etc.
• Represent company for submissions before the regulators including RBI inspections, audits, NBFC-O 
meetings, Industry Forums etc.
• Monitor and advise on entire compliance activities of the company executed by other functions and 
external agencies including for Secretarial, Human Resource, Nodal Office, Risk & Audit
• Custodian of Compliance related policies of Company and contribute in building automation and 
efficacy in implementing best regulatory practices into policies
• To ensure filing of reports/returns as per extant regulations applicable to the company
• To conduct periodic assessment of the compliance risk and to develop risk oriented activity plan for 
compliance assessment
• To monitor, periodically test compliance and prepare for various audits and inspections as per 
regulatory requirements
• To examine sustenance of compliance as an integral part of compliance testing and compliance 
assessment exercise
• To ensure compliance of supervisory observations made by the Regulators viz. RBI , IRDAI and/or any 
other directions in both letter and spirit in a time bound and sustainable manner
• Ensuring Compliances and solutions are in line with the SARFAESI Act

 

Required Experience 
• 10-12 years of experience in managing compliance function in BFSI with over 5 years of experience in 
NBFC-SI compliances regulated by RBI and IRDAI (corporate agent) 
• Experience with listed NBFC-SI will be an added advantage
Required Qualification
• Bachelors or Masters in any discipline with good academic record 
• Company Secretary Professional Examination is desirable 
• Completion of IRDA certification for Principal Officer
• Completion of Securities Intermediaries Compliance Certification would be an added advantage