Compliance Officer

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.