Department: Compliance Secretarial
Location: Bangalore
Employment Type: Full time
Experience: 4-10 Years
Qualification: Bachelor’s degree in Finance, Business Administration, or a related field. 
Advanced degrees or certifications in compliance or regulatory affairs are a plus.

 Job Description:

Regulatory Compliance:
Responsible for regulatory compliance  Ensure compliance with all rules, regulations, byelaws, circulars and other
guidelines, issued from time to time, by the exchanges, depositories, SEBI and other regulatory bodies. 

Data Analysis and Compliance Assurance: 
Data collation, analysis and periodic review to ensure ongoing compliance with all regulatory requirements. 

Audit and Inspection Handling:
Manage all internal and external audits and inspections including data collation, data verification, data submission and
observation responses for various audits and inspection of the broking and DP business. 

Preferred Skill

• In-depth knowledge of SEBI regulations and other relevant financial regulations. 
• Experience with business requirement drafting and system implementation. 
• Proven ability to handle audits and inspections successfully.
• Strong attention to detail and commitment to maintaining high standards of compliance

Department: Compliance Secretarial
Location: Bangalore
Employment Type: Full time
Experience: 3-10 Years
Qualification:Postgraduate in Finance and Risk Management,MBA,CA or CS with 8+ years of experience in Financial Services Compliance, particularly in MFI/NBFC sectors

 Job Description:

• Manage end-to-end compliance for MFI/NBFC operations, ensuring regulatory adherence.
• Provide expert guidance on RBI advisories, reporting, and monitoring.
• Oversee regulatory developments to manage risks, including AML, CFT, KYC, and compliance risks.
• Conduct risk assessments for products, ensuring alignment with RBI, SEBI, AMFI, IRDA, and other regulatory standards.
• Collaborate with compliance, risk, legal, audit, and regulatory teams for comprehensive compliance management.
• Conduct Pre-Production Audits and provide sign-offs on control testing reports.
• Develop and maintain compliance tools, policies, and risk management documentation.
• Experience with business requirement drafting and system implementation.

Preferred Skill

• Certified compliance professional is a plus.
• Strong understanding of legal and regulatory requirements in fintech, microfinance, and MFI/NBFC sectors.
• Proven ability to handle audits and inspections successfully.