Assistant Manager Compliance

Indifi; Gurugram District; On-site; INR 700,000 - 1,200,000; Full time

Job summary

Indifi in Gurgaon is seeking an Assistant Manager- Compliance to support the compliance function of our NBFC and ensure adherence to regulatory requirements. You will manage compliance tooling, track evidence, coordinate with internal stakeholders, and assist in policy drafting and training programs.

You will contribute to regulatory updates, perform risk assessments, and support audits and incident response, with a focus on KYC-AML and RBI directions within NBFC frameworks.

Qualifications

• 3-4 years of relevant experience in compliance, risk management, or regulatory affairs.
• NBFC or banking background preferred.
• Knowledge of RBI Consolidated Directions and NBFC compliance requirements.
• IRDAI Corporate Agent compliance knowledge is a plus.
• Strong communication and analytical skills.

Responsibilities

• Monitor and track compliance through tools.
• Support RBI regulatory adherence and policy development.
• Assist in drafting and revising compliance policies and SOPs.
• Support compliance risk assessments and gap identification.
• Coordinate compliance training and maintain records.
• Assist internal audit planning and tracking of findings.
• Track incident response and regulatory updates.
• Stay informed on industry regulatory trends.

Skills

Communication skills

Negotiation

Interpersonal skills

Analytical thinking

Problem solving

Education

Bachelor's degree in finance, law, or related field

Certified Compliance Professional (bonus)

Tools

Compliance tooling

Job description

Role – Assistant Manager- Compliance

Experience: Minimum 3-4 Year

Location: Gurgaon

About Role – You will support the compliance function in ensuring the NBFC adheres to all regulatory requirements and internal policies. This role involves compliance tool management (including mapping and correction of compliances), tracker maintenance, coordination with internal stakeholders, assisting in policy drafting, tracking regulatory updates, and supporting audits and compliance risk assessments.

Roles and Responsibilities:

• Compliance monitoring and tracking through tools
• Supporting discussions and execution of compliance actionable with internal stakeholders
• Coordinating ad-hoc compliance reporting requirements
• Periodical compliance filing tracking and follow-ups
• Dissemination of new regulations/policies amongst the stakeholders
• Performing stress testing as per the plan
• Policy/SOP drafting/reviewing amongst others

Job Description

• Compliance Tracking through Tool: Managing day-to-day operations of the compliance tool – mapping unmapped compliances, correcting mis-mapped items, assigning/re-assigning to the correct owner in coordination with respective departments, and following up for evidence closure.
• Regulatory Compliance: Support adherence to regulatory requirements, guidelines, and directives issued by RBI and other relevant authorities.
• Policy Development: Assist in drafting and revision of compliance policies and SOPs in line with regulatory changes.
• Risk Assessment support Assist in compliance risk assessments and help identify potential gaps.
• Training and Awareness: Support the compliance training program by coordinating training sessions, maintaining training records/trackers, and helping disseminate compliance requirements and updates to employees.
• Internal Audit & Controls: Support the implementation and monitoring of internal control systems to ensure compliance with internal policies and external regulations. Assist in coordination with the internal auditor for audit planning and execution, and track closure of audit findings by following up with stakeholders on corrective actions taken.
• Incident Response: Support execution of the incident response process by tracking compliance violations/incidents, coordinating with stakeholders for timely resolution, and maintaining incident logs and status reports..
• Monitoring Industry Trends: Stay informed about emerging trends, best practices, and changes in regulatory requirements within the NBFC and banking industry.
• Compliance Testing Follow-up: Track observations/findings raised during compliance testing, coordinate with concerned stakeholders for corrective action, and follow up until implementation and closure.

Requirement from the candidate

• Bachelor's degree in finance, law, or a related field. Advanced degrees or professional certifications (e.g., "Certified Compliance Professional") are a plus.
• A minimum 3-4 years of relevant experience in compliance, risk management, or regulatory affairs, with a strong preference for candidates with a background in NBFC or banking.
• Working knowledge of Indian financial regulations, including RBI Consolidated Directions (covering areas such as KYC-AML, Co-lending, Digital Lending Guidelines/DLG, etc.) and other applicable NBFC compliance requirements.
• Knowledge of IRDAI Corporate Agent compliance requirements will be an added advantage.
• Excellent communication, negotiation, and interpersonal skills.
• Analytical and problem-solving abilities with a keen attention to detail.
• High ethical standards and a commitment to promoting a culture of compliance and integrity
• Exposure / experience to NBFC inspection/Compliance Risk Assessment