Compliance Officer - NBFC

1. Regulatory Compliance & Governance Ensure compliance with RBI Master Directions for NBFCs, LAS-related regulatory norms, SEBI / depository guidelines and Companies Act compliances (CS degree holder preferred). Review and validate LAS documentation, lien marking, pledge creation, and release processes for adherence to regulatory standards. Keep abreast of new circulars, notifications, and amendments impacting LAS operations and update internal teams accordingly. Conduct periodic compliance reviews to ensure operational alignment with approved policies and procedures. 2. Policy Implementation & Review Assist in drafting, reviewing, and updating LAS-related policies, Standard Operating Procedures (SOPs), and internal control frameworks. Work with risk and credit teams to ensure lending practices adhere to defined risk limits, exposure norms, and collateral management standards. Support in aligning LAS processes with broader NBFC compliance and corporate governance frameworks 3. Monitoring & Reporting Monitor client-level exposures, margin call practices, and portfolio monitoring for compliance with internal and regulatory limits. Prepare and submit regulatory and internal compliance reports—including audit reports, RBI returns, and periodic MIS. Track and report deviations, potential breaches, or non-compliance incidents with timely escalation and corrective actions. 4. Audit & Inspection Coordination Facilitate internal, statutory, and regulatory audits, ensuring timely submission of data and resolution of audit observations. Conduct internal compliance checks across business, operations, and credit functions related to LAS. Maintain comprehensive documentation and evidence trails for all LAS compliance activities. 5. Stakeholder Management Collaborate with Business, Operations, Risk, Credit, and Legal teams to ensure compliance is embedded into day-to-day processes. Act as the point of contact for regulatory inspections or information requests specific to LAS. Conduct compliance awareness and training sessions for employees handling LAS transactions.