Fairdeal Corporate Advisors Pvt Ltd
Website:
fairdealadvisors.com
Job details:
CCO - NBFC & HFC
Location: Mumbai
Job Summary
The Chief Compliance Officer (CCO) will be responsible for establishing, strengthening, and monitoring the organisation’s compliance framework across the NBFC and HFC entities. This role ensures adherence to all regulatory requirements laid down by the RBI, NHB, SEBI, and other applicable statutory bodies. The CCO will also play a critical role in preparing the organisation for its planned IPO within the next two years, including governance strengthening, risk mitigation, internal controls, and disclosure readiness
Job Description
- Regulatory Compliance Management
Develop, implement, and oversee a robust compliance framework for both the NBFC and HFC.
- Ensure adherence to all RBI Master Directions, NHB guidelines, KYC/AML standards, Fair Practices Code, and sector-specific circulars.
- Monitor regulatory developments and communicate implications to senior management and relevant teams.
- Ensure timely and accurate filing of all regulatory returns (RBI, NHB, FIU-IND, MCA,etc.).Lead end-to-end compliance audits and support statutory/internal audit processes.
- IPO Readiness & Corporate Governance
- Strengthen corporate governance standards in line with SEBI (LODR) and listing requirements.
- Build systems for disclosure controls, related-party transaction monitoring, and board committee compliances.
- Establish policies, procedures, and documentation required for due diligence by bankers, legal advisors, and investment bankers.
- Drive compliance aspects of DRHP/Red Herring Prospectus preparation.
- Risk & Internal Control Alignment
- Work closely with Risk, Legal, Finance, and Business teams to develop effective
- Identify, assess, and mitigate compliance risks across lending, operations, distribution, digital initiatives, and customer lifecycle.
- Ensure adherence to Data Protection, Cybersecurity, Digital Lending Guidelines (DLG), and grievance redressal norms.
- Policy Framework & Training
- Develop and periodically update compliance-related policies (AML, KYC, Outsourcing, Fair Practices Code, Whistleblower, etc.).
- Conduct periodic compliance training and awareness programs for employees, senior management, and branch teams.
- Promote a culture of compliance and ethical business practices across the organization.
- Advisory & Stakeholder Management
- Act as the primary liaison with RBI, NHB, FIU-IND, and other regulatory bodies.
- Provide guidance to business teams on new products, digital journeys, and business initiatives from a compliance perspective.
- Prepare and present periodic compliance reports to the Board and Board Committees.
Qualifications
- Chartered Accountant / Company Secretary / LLB / MBA (Finance, Risk, Compliance) preferred.
- Formal compliance certifications (e.g., ICAI/ICSI/NISM/AML) are an added advantage.
- 15–20 years of experience in Compliance, with minimum 8–10 years in NBFC/HFC/BFSI leadership roles.
- Strong working knowledge of RBI and NHB regulatory environment.
- Experience in corporate governance and compliance for IPO-bound companies or listed entities are highly desirable.
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