Company Secretary, NBFC/Fintech Practice

About the Role

The Senior Associate will be working with multiple NBFCs, Fintechs / Lending Service Providers (LSPs) and other financial services clients. This is a dynamic, client-facing role.

Key Responsibilities

• Compliance Framework & Risk Management
• Ensure strict observance of all statutory and regulatory requirements applicable to clients, including NBFCs and Fintech / LSP entities, standards of market conduct, managing conflict of interest, treating customers fairly, and ensuring suitability of customer services.
• Ensure an appropriate Compliance policy is in place and implemented rigorously for clients / across client organizations.
• Carry out an annual Compliance risk assessment to identify and assess major Compliance risks faced by clients and prepare a plan to manage risks.
• Regulatory Monitoring & Implementation
• Continuously track and evaluate regulatory updates relevant to clients and their respective businesses.
• Assess the impact of regulatory changes on clients' policies and business processes.
• Disseminate updates to clients / senior management and ensure timely implementation.
• Compliance Advisory & Governance
• Ensure strict adherence to RBI and SEBI guidelines by clients, as applicable.
• Provide compliance advisory to client business teams on loan products and related matters from applicable laws.
• Present compliance updates, regulatory developments, and impacts to client teams and train them periodically. Suggest changes required in processes or develop new ones to mitigate risk and comply with guidelines.
• Reporting & Communication
• Prepare and submit periodic returns to RBI and other regulators for clients, as applicable.
• Act as the single point of contact for clients on regulatory queries and clarifications.
• Coordinate with client group entities / divisions to share compliance updates and convert them into action-plan-based implementation.
• Ensure proper record keeping throughout to have a real-time updated client data room.
• Testing & Review
• Develop and implement the annual compliance testing plan for clients.
• Report significant compliance lapses for presentation to client Boards, Committees, and senior leadership.
• Conduct regular compliance reviews and test internal controls across client departments / functions.
• Audit & Inspection Management
• Lead client RBI inspections, statutory and internal audits, and other regulatory reviews, including managing matters arising from lending partners' audits / inspections.
• Ensure client audit readiness, effective participation, and timely closure of audit findings.
• Build comprehensive client data rooms for audits and inspections.
• Legal
• Handle legal matters including contracts, compliance, litigation, and regulatory affairs for clients.
• Develop and maintain client contract management tools / processes.

Requirements & Tech Stack

• Working knowledge of RBI Regulations and rules thereunder for NBFC and LSP.
• Practical understanding of lending products such as PL, LAP, BNPL.
• Operational knowledge of SEBI regulations, including SEBI (LODR) and SEBI (ICDR).
• Basic understanding of FEMA and RBI regulations, particularly for NBFC & LSP entities with FDI.
• Familiarity with depository systems, RTA operations, and share capital compliances.
• Strong drafting, communication, and client / stakeholder coordination skills.
• Ability to manage multiple client assignments and timelines simultaneously.

Qualifications

• (Implicit: Must be willing to drive processes with complete ownership and adhere to all internal and statutory timelines.)
• (Implicit: Will be part of the team to manage overall client-level compliances, secretarial and legal aspects, including strategies, regulatory inspections, audits, business partnerships, etc.)
• (Implicit: Hands-on exposure to compliance, advisory and regulatory assignments, including work for listed entities and leading businesses.)
• (Implicit: Opportunities to work closely with Partners, senior professionals and key decision makers.)
• (Implicit: Encouragement to take ownership, drive initiatives and contribute beyond defined responsibilities.)
• (Implicit: Exposure to modern business technologies, including AI-enabled tools and digital workflows.)