Head Compliance & Legal

Todd Consulting · India

Job Title: Head of Compliance (FinTech)

Location: Mumbai, India

Keywords: Compliance - Payment Aggregator/Gateway - FinTech - NBFC - CS

About the Role

Looking for an experienced and highly driven individual to lead and strengthen the internal compliance framework as the company scales. This role will be critical in ensuring regulatory adherence, corporate governance excellence, and building robust compliance systems aligned with a fast-growing fintech environment.

Qualifications & Experience

• Qualified Company Secretary (CS) with membership of ICSI
• LLB or additional legal qualification preferred
• 5-10 years of experience , with significant exposure to the fintech / financial services sector
• Strong understanding of RBI regulations, NBFC frameworks, PA/PG (Payment Aggregator/Payment Gateway) regulations, payment systems, and digital finance ecosystem
• Experience working with or advising Payment Aggregators, Payment Gateways, fintech companies, NBFCs.
• Demonstrated experience interacting with regulators including RBI, SEBI, MCA, FIU-IND, law enforcement agencies, and other statutory authorities.
• Exposure to fundraising, investor due diligence, board governance, data room preparation, and compliance readiness for strategic investments.
• Experience in scaling compliance frameworks in a high-growth environment 

Key Responsibilities

Compliance Framework & Strategy

• Design, implement, and enhance internal compliance and governance framework
• Ensure adherence to RBI, SEBI, Companies Act, FEMA, and related regulations
• Anticipate regulatory changes and align internal policies proactively
• Monitor changes in regulatory requirements and recommend updates to policies, procedures, and internal controls

Regulatory Affairs and Government Interface

• Act as the primary interface with RBI, MCA, SEBI, FIU-IND, law enforcement agencies, and other regulatory authorities
• Lead responses to regulatory queries, inspections, audits, notices, and enforcement proceedings
• Ensure timely and accurate responses to notices, inquiries, and requests received from regulators and law enforcement agencies
• Coordinate regulatory submissions, approvals, licensing requirements, and ongoing compliance obligations
• Build and maintain constructive relationships with regulators and external advisors
• Oversee timely regulatory filings, disclosures, and reporting

Case Management, Investigations & Fraud Compliance

• Handle and track regulatory, legal, fraud, and compliance-related cases from initiation through closure within defined timelines
• Conduct internal investigations into suspected fraud, policy violations, and compliance breaches
• Maintain comprehensive documentation and case records for audit and regulatory purposes

Governance & Risk Management

• Manage board meetings, committee meetings, and shareholder communications
• Maintain statutory registers, filings, and records accurately and timely
• Strengthen corporate governance practices and internal controls
• Identify compliance risks and implement mitigation strategies
• Work closely with Legal, Finance, Operations, Fraud Risk, and Business teams for integrated risk management and to implement corrective actions on compliance issues

Reporting & Training

• Prepare compliance reports and management dashboards for senior leadership
• Conduct compliance training and awareness programs across the organization

Key Skills & Attributes

• High level of integrity, discretion, and confidentiality
• Proven ability to manage compliance in a fast-scaling fintech business
• Strong stakeholder management and regulatory interfacing skills
• Excellent drafting, documentation, and communication skills
• Strategic thinker with strong execution capabilities