Legal and Compliance Officer

CIIE Initiatives (IIM Ahmedabad)


Law/Legal - Internship
CIIE Initiatives (IIM Ahmedabad) • Ahmedabad, Gujarat • via Internshala
16 days ago
Full–time and Internship
Apply on Internshala
Apply on TWENTY19
Job description
About the internship:
Selected intern's day-to-day responsibilities include:

1. You may assist with reviewing and updating investment documents (term sheets, shareholder agreement, share subscription agreements, share purchase agreements etc.)

2. You may assist with cap table cleanups and compliance tracking for portfolio companies.

3. Sit in on internal calls around live deals - diligence, str...
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Vaishali Securities Ltd


Legal and Compliance Officer
Vaishali Securities Ltd • Ahmedabad, Gujarat • via Jobaaj
Full–time
Apply directly on Jobaaj
Job description
As a Compliance Officer at the NBFC
your role involves ensuring regulatory compliance and maintaining effective communication with regulators
You will be responsible for various key activities

Regulatory Liaison

Act as the Single Point of Contact
SPOC
between the NBFC and regulators such as RBI
CICs
and Ombudsman

Handle all official communications and queries from the RBI regarding inspections
audits
and compliance matters

Grievance Redressal

Receive
record
and address customer complaints in line with RBI Fair Practices Code

Ensure timely resolution of complaints within regulatory timelines

Prepare periodic reports on grievance status for submission to regulators and management

Compliance Monitoring

Ensure company policies align with RBI guidelines for NBFCs like KYC
AML
CIC reporting
and digital lending norms

Serve as the official liaison with Credit Information Companies
CICs
for credit data reporting

Oversee accurate and timely submission of regulatory returns and statutory reports

Audit
Inspections

Facilitate internal and external audits and RBI inspections

Provide necessary documentation
explanations
and data to auditors and regulators

Policy Development
Training

Assist in drafting and updating compliance
related policies

Train staff on grievance handling and compliance protocols

Reporting

Prepare reports for the Board
Audit Committee on compliance status
customer complaints
and regulatory interactions

Maintain comprehensive documentation of all communications with RBI and other regulators

Qualifications

Education

Bachelors Degree in Law
Finance
Business Administration
or related field

Preferred
Masters Degree
MBA
LLM
Chartered Accountant
Company Secretary

Experience

Minimum 5
7 years of experience in compliance
legal
audit
or regulatory affairs

Prior experience in direct liaison with regulators is desirable

Skills
Knowledge

Strong knowledge of RBI NBFC Master Directions
Fair Practices Code
KYC
AML regulations
and Digital Lending Guidelines

Excellent communication skills
problem
solving abilities
and coordination skills

Other Requirements

High integrity
attention to detail
and confidentiality maintenance

Availability as an official public contact point

Willingness to attend meetings with regulators as needed
In addition to the above responsibilities and qualifications
the company offers commuter assistance
health insurance
internet reimbursement
leave encashment
paid sick time
and work from home option
Kindly provide your current CTC
expected CTC
and availability to join immediately along with the number of days required
Please note that this is a full
time position requiring in
person work at the specified location