Assistant Manager Compliance

Indifi; Haryana; On-site; INR 600,000 - 800,000; Full time

Job summary

Indifi in Gurgaon is seeking an Assistant Manager- Compliance to support the NBFC's regulatory adherence and internal policy compliance. You will manage compliance tools, trackers, and coordinate with internal teams to ensure timely evidence, reporting, and action closure.

The role involves assisting in policy drafting, tracking RBI updates, and supporting audits and risk assessments, with emphasis on KYC-AML, lending guidelines, and related NBFC requirements.

Qualifications

• Bachelor's degree in finance, law, or related field.
• 3–4 years in compliance, risk management, or regulatory affairs, preferably NBFC/banking.
• Knowledge of RBI guidelines and NBFC compliance requirements.

Responsibilities

• Monitor and track compliance through tools.
• Coordinate with internal stakeholders on compliance actions.
• Prepare and track regulatory reporting and evidence.
• Assist in policy drafting and SOP updates.
• Support internal audits and compliance risk assessments.
• Track regulatory updates and industry trends.
• Disseminate new regulations to stakeholders.

Skills

Compliance monitoring

Regulatory knowledge

Stakeholder coordination

Policy development

Audit support

Education

Bachelor's degree in finance or law

Tools

Compliance tools

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