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Job Title: CS & Compliance Manager
We are seeking a highly skilled and experienced Manager of Compliance to join our fast-growing fintech/wealth management company based in Mumbai. The Manager of Compliance will be responsible for ensuring that the organization adheres
to all applicable laws, regulations, RBI guidelines, and industry standards. The ideal candidate will possess in-depth knowledge of financial regulations and compliance requirements in India, particularly those set forth by the Reserve Bank of India (RBI). The role requires strong analytical and communication skills.
Key Responsibilities
- Ensure the company complies with all applicable laws, regulations, and guidelines as per the Companies Act and RBI regulations.
- Coordinate and organize board meetings, prepare agendas, attend meetings, and draft meeting minutes.
- Vet, draft, and negotiate contracts/agreements ensuring coverage of commercial, contractual, technical, and administrative matters.
- Facilitate communication between the company and its shareholders including organizing Annual General Meetings and handling shareholder queries.
- Implement and maintain strong corporate governance practices and advise the board on governance matters.
- Provide legal advice and guidance to the board and senior management on legal and regulatory matters.
- Monitor changes in laws and regulations affecting the company and ensure timely compliance.
- Identify legal and compliance risks and develop strategies to mitigate them.
- Build and maintain relationships with regulatory authorities, legal advisors, auditors, and stakeholders.
- Develop, implement, and maintain compliance policies and procedures specific to the fintech/wealth management.
- Ensure adherence to regulatory requirements set forth by RBI or other relevant authorities.
- Conduct risk assessments and compliance audits to identify potential issues.
- Train and educate staff on compliance standards and regulatory updates.
- Manage regulatory reporting and respond to inquiries from authorities.
- Collaborate with internal teams to maintain a strong culture of compliance.
- Investigate and resolve compliance violations promptly.
- Highlight issues that may have revenue implications or expose the company to legal, financial, or statutory risks.
- Ensure contracts and business documents protect company interests and comply with regulations.
- Develop contract terms and conditions including confidentiality and commercial agreements.
- Manage and review labour law compliances.
Qualifications & Skills
- Qualified Company Secretary (CS); LLB preferred.
- Registered Investment Advisor (RIA) license is mandatory
- Minimum4+years of experience in compliance or risk management within the financial services industry, preferably fintech/wealth management.
- Strong understanding of Indian financial regulations including RBI guidelines, AML/CFT requirements, and data protection laws.
- Knowledge of compliance best practices and fintech industry standards.
- Experience developing and implementing compliance programs and internal controls.
- Strong analytical and problem-solving skills with the ability to mitigate compliance risks.
- Ability to work independently in a fast-paced environment.
- Excellent verbal and written communication skills.
- Detail-oriented with strong commitment to accuracy and quality
Skills: cs,fintech,sebi regulations,compliance,companies act,ria,wealth management
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