Senior Manager - Compliance

Clix Capital Services; Gurugram District; On-site; INR 900,000 - 1,200,000; Full time

Job summary

Clix Capital Services in India seeks a Compliance & Governance professional to strengthen regulatory oversight, monitor adherence to RBI and NHB guidelines, and drive risk-aware decision making across the organization.

You will manage regulatory reporting, maintain comprehensive MIS, coordinate policy updates, training, and escalation, and ensure timely filings and archival of regulatory communications for audit readiness.

Responsibilities

• Identifying, addressing, reporting and supporting to Chief Compliance Officer on regulatory compliance issues
• Ensuring various stakeholders stay abreast with applicable regulatory standards via prompt communication of new/amended regulations, and tracking implementation
• Detailed MIS of applicable regulation is prepared, circulated, and tracked till implementation
• Training/ meetings conducted with relevant stakeholders to discuss challenges/ progress
• Ensuring timely regulatory reporting to RBI, NHB, etc. (250+)
• Preparing detailed monthly MIS for applicable and due filings - regulator wise
• Circulation of checklist with various functions
• Ensuring timely filing by the teams on respective due dates
• Escalation to CXO / CCO in case of any challenge
• Preparing MIS for completed filings with reason of delay (if any), and circulation of the same with CCO, and other stakeholders
• Coordinating with Admin team to collate the required documents and submission with SGC
• Tracking pending renewals/ closure/ new applications
• Display compliance checklist and tracking implementation
• Escalation in case of any challenge
• Invoice review, approval by CXO, and maintain MIS
• Including all new/updated SMS/emails, consents, loan documentation etc. which are implemented in existing or any product/ partnerships
• Maintain repository of all regulatory correspondences - year, subject and folder wise
• Collating information from Operations, Collections, other functions for monthly Suspicious Activity Review Committee meetings
• Preparing deck, and minutes of the meeting, and tracking closure of open issues
• Reporting to regulator, if required
• Ensuring Annual Review/renewal of policies by policy owners, and approval by the Board
• Drafting/ amendment of Compliance related policies as per extant regulations
• Review of policies from Compliance perspective, wherever applicable
• Strengthen the Compliance training program to focus on key risk areas (like AML, FPC, etc.)
• Periodic updates to the employees via emails/ screen display
• Ensuring SEBI/NSE related compliance w.r.t to fund raising via Non-convertible Debentures and Commercial Papers ( 14 active ISINs - 13 NCD and 1 CP)
• Review of issue timelines
• Setting up issue on EBP platform
• NSE announcement for issue of securities
• Bidding on EBP platform, and acceptance

Job description

Governance and Monitoring

• Identifying, addressing, reporting and supporting to Chief Compliance Officer on regulatory compliance issues
• Ensuring various stakeholders to stay abreast with applicable regulatory standards via prompt communication of new/amended regulations, and tracking implementation of the same
• Detailed MIS of applicable regulation is prepared, circulated, and tracked till implementation
• Training/ meetings conducted with relevant stakeholders to discuss challenges/ progress
• Ensuring timely regulatory reporting to RBI, NHB, etc. (250+)
• Preparing detailed monthly MIS for applicable and due filings - regulator wise
• Circulation of checklist with various functions
• Ensuring timely filing by the teams on respective due dates
• Escalation to CXO / CCO in case of any challenge
• Preparing MIS for completed filings with reason of delay (if any), and circulation of the same with CCO, and other stakeholders

S&E/ Trade License registration/ renewal in time (~ 20 p.a.)

• Coordinating with Admin team to collate the required documents and submission with SGC
• Tracking pending renewals/ closure/ new applications
• Display compliance checklist and tracking implementation
• Escalation in case of any challenge
• Invoice review, approval by CXO, and maintain MIS

Review of Customer Communications/ Scripts from regulatory compliance perspective

• Including all new/updated SMS/emails, consents, loan documentation etc. which are implemented in existing or any product/ partnerships

Maintain repository of all regulatory correspondences - year, subject and folder wise

• Maintain repository of all regulatory correspondences - year, subject and folder wise

Conduct monthly Suspicious Activity Review Committee meetings for effective transaction monitoring

• Collating information from Operations, Collections, other functions
• Preparing deck, and minutes of the meeting
• Escalation of issues (if any) to relevant stakeholders
• Tracking closure of open issues
• Reporting to regulator, if required

Policy & Procedures

• Ensuring Annual Review/renewal of policies by policy owners, and approval by the Board
• Drafting/ amendment of Compliance related policies as per extant regulations
• Review of policies from Compliance perspective, wherever applicable

Employee Training & Communication

• Strengthen the Compliance training program to focus on key risk areas (like AML, FPC, etc.)
• Periodic updates to the employees via emails/ screen display

Listing Compliance

• Ensuring SEBI/NSE related compliance w.r.t to fund raising via Non-convertible Debentures and Commercial Papers ( 14 active ISINs - 13 NCD and 1 CP)
• Review of issue timelines
• Setting up issue on EBP platform
• NSE announcement for issue of securities
• Bidding on EBP platform, and acceptance

Disclaimer: This job posting has been aggregated from external source. Role details, content, and availability are subject to change. Applicants are advised to confirm the latest information directly on the company website before applying.