Compliance Manager (CA/CS)

Dhani Loans and Services (DLSL); Gurugram District; On-site; INR 1,800,000 - 2,800,000; Full time

Job summary

Dhani Loans and Services (DLSL) is seeking a qualified Compliance Head to oversee regulatory compliance for a listed Core Investment Company (CIC) in Gurugram. The role focuses on RBI regulations, corporate governance, and regulatory reporting within NBFC/financial services.

Adeptness at CIC requirements and listing obligations is essential. The ideal candidate will lead compliance programs, manage regulatory filings, and collaborate with internal teams to mitigate risk and ensure timely

Qualifications

• CS or CA qualification.
• 3–8 years of regulatory compliance experience.
• Strong knowledge of RBI regulations for NBFCs/CICs.
• Familiarity with SEBI regulations and listing requirements.

Responsibilities

• Ensure RBI regulatory compliance and timely returns.
• Monitor CIC regulatory framework and maintain records.
• Ensure SEBI and listing obligations compliance.
• Develop and monitor internal compliance policies and controls.
• Provide regulatory updates to management and stakeholders.

Skills

Regulatory compliance

Stakeholder management

Attention to detail

Analytical skills

Coordination

Education

CS

CA

Job description

Job Description Compliance Manager

Listed Core Investment Company (CIC)
Location: Gurugram
Experience: 3–8 Years
Qualification: Qualified Company Secretary (CS) or Chartered Accountant (CA)
Industry Preference: NBFC / PPI / Payment Gateway / Payment Aggregator Services

Job Summary

We are looking for a qualified and experienced Compliance Head to oversee regulatory compliance for a listed Core Investment Company (CIC). The role will be responsible for ensuring adherence to applicable Reserve Bank of India (RBI) regulations, SEBI requirements, stock exchange regulations, and other relevant statutory and regulatory obligations.
The ideal candidate should have strong expertise in RBI regulatory compliances, corporate governance, regulatory reporting, and compliance management within the NBFC or financial services sector.

Key Responsibilities

1. RBI Regulatory Compliance

Ensure compliance with applicable RBI guidelines, circulars, notifications, directions, and regulatory requirements relevant to Core Investment Companies.
Monitor changes in RBI regulations and assess their impact on the company's operations.
Ensure timely submission of statutory and regulatory returns, reports, and disclosures to the RBI and other relevant authorities.
Maintain a regulatory compliance calendar and ensure adherence to prescribed timelines.
Coordinate with RBI officials and other regulatory authorities for inspections, clarifications, and compliance-related matters, as required.

2. CIC-Specific Compliance

Ensure compliance with the applicable regulatory framework governing Core Investment Companies, including relevant registration, capital adequacy, leverage, and other prudential requirements, wherever applicable.
Monitor compliance with applicable CIC regulations and ensure proper maintenance of statutory records and regulatory documentation.
Support regulatory assessments, internal reviews, and audits related to CIC operations.

3. Listed Company Compliance

Ensure compliance with applicable SEBI regulations, including the SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015, and relevant stock exchange requirements.
Coordinate timely filing of disclosures, corporate announcements, and other applicable submissions with stock exchanges.
Support compliance requirements relating to board meetings, committee meetings, annual general meetings, and other corporate governance matters.
Coordinate with the Company Secretary, Legal, Finance, and other internal stakeholders to ensure compliance with applicable corporate laws and listing obligations.

4. Compliance Monitoring and Risk Management

Develop, implement, and monitor internal compliance policies, procedures, and controls.
Conduct periodic compliance reviews and identify potential regulatory gaps or non-compliance risks.
Maintain compliance trackers, risk registers, and documentation of corrective and preventive actions.
Coordinate with internal auditors, statutory auditors, and external consultants on compliance-related matters.
Track regulatory observations and ensure timely closure of compliance issues.

5. Regulatory Updates and Advisory

Keep management updated on changes in applicable regulatory requirements and their business implications.
Provide compliance guidance to internal stakeholders on RBI regulations, CIC requirements, and applicable corporate and listing compliances.
Assist in implementing new regulatory requirements, policies, and compliance processes.

Eligibility Criteria

Qualified Company Secretary (CS) or Chartered Accountant (CA).
3–8 years of relevant experience in regulatory compliance, preferably within an RBI-regulated financial services organisation.
Strong working knowledge of RBI regulations and circulars applicable to NBFCs and Core Investment Companies.
Preference for candidates with experience in NBFCs, Prepaid Payment Instruments (PPI), Payment Gateways, or Payment Aggregator Services.
Familiarity with SEBI regulations, stock exchange filings, and listed-company compliance requirements.
Strong analytical, documentation, coordination, and stakeholder-management skills.
Ability to interpret regulatory requirements and ensure their effective implementation.

Key Competencies

Strong understanding of RBI regulatory frameworks.
Knowledge of CIC-specific regulatory requirements.
Corporate governance and regulatory reporting.
Compliance risk assessment and monitoring.
Attention to detail and adherence to deadlines.
Effective communication and coordination with senior management and regulators.