Assistant manager/manager - compliance

ROLE OVERVIEW

We are looking for a detail-oriented Compliance professional to support the organization in ensuring adherence to applicable RBI regulations, SARFAESI Act, internal policies, and other regulatory requirements. The role will involve compliance monitoring, regulatory reporting, policy review, coordination with internal stakeholders, and supporting a strong compliance and governance framework across the organization.

KEY RESPONSIBILITIES

Ensure compliance with applicable RBI regulations, directions and guidelines governing Asset Reconstruction Companies (ARCs). Monitor compliance requirements under the SARFAESI Act, 2002 and other applicable regulatory frameworks. Maintain and periodically update the Compliance Calendar and track timely closure of regulatory requirements. Prepare and submit periodic regulatory returns, reports and disclosures to RBI and other authorities, as applicable. Monitor regulatory circulars, notifications and amendments and assess their impact on the organization. Coordinate with various departments for implementation of new regulatory requirements and closure of compliance observations. Conduct periodic compliance reviews and identify gaps, exceptions and areas requiring corrective action. Assist in preparation and review of internal compliance policies, SOPs and regulatory frameworks. Prepare compliance updates, dashboards and MIS for Senior Management and relevant Committees/Board. Support RBI inspections, internal audits, statutory audits and other regulatory reviews. Track audit/regulatory observations and ensure timely submission and closure of action points. Provide compliance guidance to business and support functions on regulatory matters. Maintain appropriate documentation and records to demonstrate regulatory compliance. Assist in strengthening the overall compliance culture and regulatory governance framework of the organization.

REQUIRED QUALIFICATIONS & EXPERIENCE

Graduate/Postgraduate in Law. 3–6 years of relevant experience in Compliance/Regulatory Compliance, preferably with an ARC, NBFC, Bank or other RBI-regulated financial institution. Good understanding of RBI regulations, SARFAESI Act and regulatory compliance requirements applicable to financial institutions. Prior experience in regulatory reporting, compliance monitoring and handling regulatory/audit requirements would be preferred.

REQUIRED SKILLS & COMPETENCIES

Strong understanding of regulatory and compliance frameworks. Excellent analytical and interpretation skills. Strong attention to detail and documentation abilities. Good written and verbal communication skills. Ability to interpret regulatory circulars and translate them into actionable requirements. Strong coordination and stakeholder management skills. Ability to manage multiple compliance deadlines independently. High level of integrity, confidentiality and professional judgment. Proficiency in MS Excel, Word and Power Point. Proactive approach towards identifying and mitigating compliance risks.

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