Chief Compliance Officer

Position - Chief Compliance Officer

SEEDS FINCAP PVT. LTD. (SEEDS) is a Delhi NCR-based non-deposit-taking NBFC. With its headquarters in Gurugram (erstwhile Gurgaon), the company aim to serve a million MSMEs (Micro, Small, and Medium Enterprises) in India in this decade. Currently the company has its operations spread across Eight States (Uttar Pradesh, Haryana and Rajasthan, Bihar, Uttarakhand, Punjab, MP & Gujarat) with is 155 Branches.

Location: Gurugram, Haryana

Role Summary

• The Chief Compliance Officer is responsible for ensuring that the NBFC adheres to all regulatory,
• legal, and compliance requirements as outlined by governing authorities such as the Reserve Bank of India (RBI), SEBI, and other applicable laws. The CCO will design, implement, and oversee compliance policies, ensure adherence to ethical practices, and safeguard the organization from compliance risks.

Key Responsibilities

Regulatory Compliance

1. Monitor and ensure compliance with all applicable laws and regulations from the Reserve

Bank of India (RBI), Companies Act and other relevant authorities.

2. Develop and implement regulatory policies and procedures to maintain compliance

standards across the organization.

3. Manage audits and inspections from regulatory bodies, overseeing and responding to findings and recommendations.

4.Internal Compliance & Controls Establish and enforce an internal compliance framework that aligns with best practices and

promotes a culture of ethical behavior and integrity.

5. Conduct regular compliance risk assessments, ensuring timely updates to policies and internal controls to address new risks or regulatory changes.

6. Oversee the implementation of Anti-Money Laundering (AML) and Know Your Customer (KYC) programs across all branches to ensure complete adherence. Corporate Governance

7. Support the Board of Directors and senior management in maintaining strong corporate governance practices.

8. Provide advice and recommendations regarding compliance risks and governance matters in line with the ESG policy and other investor requirements.

9. Ensure effective documentation and reporting to keep the Board informed of any compliance concerns or regulatory changes.

10. Maintain effective communication channels to disseminate information on compliance policies, processes, and updates to all stakeholders.Stakeholder Engagement

11. Act as a point of contact for regulatory authorities, auditors, and investors on compliance-related matters.

12. Coordinate with internal departments, including Legal, Risk Management, and Audit, to support cohesive compliance and governance.

Reporting & Recordkeeping

13. Prepare and submit regular compliance reports to the senior management and Board of Directors, highlighting compliance trends, risks, and mitigation measures.

14. Ensure all compliance documentation is maintained in an organized manner, readily available for internal and external audits.

Requirements

• Qualifications: Bachelors degree in law, Finance, Business Administration, or related field; a Masters degree or professional certifications (such as CA, CS or similar) are preferred.
• Experience: Minimum of 10 years in compliance, risk management, or regulatory roles within the financial services industry, preferably in NBFC or banking sectors.
• Knowledge: In-depth knowledge of RBI regulations, NBFC compliance requirements,AML/KYC regulations, and corporate governance standards.
• Skills: Strong analytical, problem-solving, and communication skills; ability to work with senior management and Board members effectively.
• Attributes: High ethical standards, strong attention to detail, and the ability to foster a culture of compliance throughout the organization.

Salary: Will be Best as per the industry

Interested candidate can contact to HR at manmath.sahoo@seedsfincap.com or 9311700907