Compliance Head : Andheri W : Sal 20 LPA

Jobspothr; Mumbai; On-site; INR 1,800,000 - 2,200,000; Full time

Job summary

Jobspothr is seeking a Compliance Head in Mumbai (Andheri W) to ensure full RBI and corporate‑secretarial compliance. Reporting to the Managing Director, the role requires 5+ years of experience and qualifications such as CS/LLB/CA.

The incumbent will build robust systems, policies and a strong compliance culture across the organization. The ideal candidate will own RBI returns, statutory filings, AML/PMLA controls and governance processes, while coordinating with regulators and board committees

Qualifications

• Listed-entity secretarial compliance experience preferred.
• Strong grounding in RBI Master Directions & NBFC regulations.
• Experience with Companies Act 2013 and AML/PMLA.
• Ability to manage RBI filings and governance.

Responsibilities

• Ensure 100% accurate and on-time RBI returns, statutory reports and event-based submissions.
• Oversee governance notices, agendas, board notes, resolutions and minutes.
• Design, implement and strengthen AML / PMLA framework; timely STR / CTR filings.
• Present monthly compliance dashboard to MD and senior management; monitor governance across portfolio.
• Interface with RBI, SEBI, ROC and regulators; lead inspection readiness.
• Lead and mentor a compliance team; foster zero-tolerance culture for shortcuts.

Skills

RBI regulations

NBFC regulations

AML / PMLA

SEBI LODR

Board governance

CKYC / CERSAI

Roc filings

Risk & governance

Education

CS/LLB/CA

Job description

Our client a listed Finance Company needs -

Post : Compliance Head
Reporting to : Managing Director
Location : Andheri W, Mumbai
Experience : Min 5 years

Qualification : CS / LLB / CA Compliance Specialist
Salary : 20 LPA

Role

To Ensure our client is in full compliance with RBI regulations, the Companies Act, SEBI LODR, applicable NBFC guidelines AML / PMLA norms and corporate-governance standards — while building robust compliance systems, SOPs and a strong compliance culture across the organisation.

Regulatory Compliance & RBI Returns

• Ensure 100% accurate and on-time filing of all RBI returns, statutory reports and event-based submissions.
• Own and maintain the enterprise compliance calendar and maker–checker review discipline; close regulatory observations sustainably.
• Safeguard CKYC / KYC operational integrity across PAN, Aadhaar and document-verification workflows.

Corporate & Secretarial Compliance (Listed Entity)

• Oversee Board and Committee governance — notices, agendas, board notes, resolutions and minutes.
• Ensure on-time ROC, SEBI LODR and stock‑exchange filings, and maintain statutory registers and secretarial records.

AML / PMLA & Financial-Crime Compliance

• Design, implement and continuously strengthen the AML / PMLA framework; ensure timely STR / CTR filings and insider‑trading controls.
• Drive annual AML, ethics and compliance training across the organisation.

Monitoring, Risk & Governance

• Proactively identify regulatory and compliance risks and ensure high‑risk gaps are remediated promptly.
• Present a monthly compliance dashboard to the MD and senior management; ensure CERSAI and security‑interest compliance across the secured portfolio.

Regulatory & Board Stakeholder Management

• Act as the primary interface with RBI, SEBI, ROC and other regulators; lead inspection readiness and drive prevention of repeat observations.
• Prepare and present materials to the Board Audit / Compliance Committee.

Leadership, Culture & Team

• Build a strong compliance culture and a zero‑tolerance stance on shortcuts and ethical breaches; lead, mentor and retain a capable team

Experience & Knowledge

• Listed‑entity secretarial compliance experience (SEBI LODR, ROC, stock‑exchange filings) strongly preferred.
• Strong grounding in RBI Master Directions & NBFC regulations (incl. Scale Based Regulation), Companies Act 2013, AML/PMLA, FIU-IND reporting, CKYC and CERSAI.
• Progressive compliance experience within NBFC / BFSI with hands‑on ownership of RBI regulatory filings

Candidate Profile

Qualifications

• Company Secretary (CS), LLB or Chartered Accountant (CA) — a recognised compliance‑specialist qualification is essential.
• Additional certifications in AML / compliance / corporate governance are an advantage.

Leadership & Behavioural Competencies

• Ownership & Accountability — takes visible personal ownership of outcomes without deflection.
• Communication, Influence & Executive Presence — communicates with context and rationale; a calm, credible presence.
• Resilience & Leading Through Change — maintains composure under regulatory pressure and steadies the team through change.
• Ethical Conduct & Integrity — upholds the highest standards and champions a zero‑tolerance culture for shortcuts.