Compliance Officer
3 weeks ago
Job Title: Compliance OfficerLocation: NoidaEmployment Type: Full-TimeJob Purpose:To ensure organizational compliance with all applicable statutory, regulatory, andinternal governance requirements, including oversight of internal processes, vendorrisk, regulatory filings, and compliance training initiatives.Key Responsibilities:1. Compliance Audit and ReportingConduct comprehensive reviews and maintain documentation to ensureadherence to applicable regulatory requirements and internal compliancestandards.2. Corporate Governance ReviewEvaluate the organization’s governance structure to ensure it aligns withregulatory expectations and industry best practices in coordination with theCompliance Officer.3. Internal Controls and Process AuditsReview and assess existing business processes to identify control gaps andensure implementation of robust internal controls.4. POSP Compliance ReviewAudit and validate onboarding, training, and operational processes of Point ofSales Persons (POSPs) as per relevant compliance guidelines.5. Business Continuity and Disaster Recovery ReviewEnsure that effective Business Continuity Planning (BCP) and Disaster Recovery(DR) frameworks are established and tested regularly under the ComplianceOfficer's supervision.6. Training and Awareness ProgramsDesign and conduct regular workshops and training on key compliance areasincluding AML/KYC norms, cybersecurity protocols, and operational riskmitigation.7. Documentation Support for Regulatory FilingsAssist in the timely and accurate preparation of required documentation forfilings such as shareholding changes, periodic returns, and other statutory submissions.8. Gap Analysis and Risk-Based RecommendationsConduct gap analyses to identify areas of non-compliance and provide tailored,risk-based recommendations to meet compliance expectations.9. Third-Party Vendor Due DiligenceConduct compliance and risk assessments of third-party vendors and ensurenecessary controls are extended to all external partnerships.Preferred Qualifications:- Company Secretary (CS) – Preferred - Candidates with the following backgrounds may also be considered: - LLB / LLM (Corporate Law / Compliance Specialization) - Chartered Accountant (CA) - MBA (Finance / Risk / Compliance) - Graduate/Postgraduate in Commerce, Finance, or Business Law with relevant experience in compliance or risk managementPreferred Skills & Experience:● 4–8 years of relevant experience in regulatory compliance, audits, or governanceroles (preferably in insurance, financial services, or related sectors)● Strong understanding of regulatory frameworks (IRDAI, SEBI, RBI, etc.)● Excellent knowledge of corporate governance and internal controls● Strong documentation, communication, and presentation skills● Ability to work cross-functionally and manage multiple priorities
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Compliance Officer
9 hours ago
New Delhi, India Phoenix Advisers Full timeCompany DescriptionPhoenix Advisers is a Transaction Advisory and Asset Management firm. It is based in New Delhi and Singapore. The firm was founded by experienced professionals who are capable of providing advice on complex transactions, investment advisory, and management. Their team has the valuable perspective of both ‘buy’ and ‘sell’ side...
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Compliance Officer
4 hours ago
New Delhi, India Phoenix Advisers Full timeCompany DescriptionPhoenix Advisers is a Transaction Advisory and Asset Management firm. It is based in New Delhi and Singapore. The firm was founded by experienced professionals who are capable of providing advice on complex transactions, investment advisory, and management. Their team has the valuable perspective of both ‘buy’ and ‘sell’ side...
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Compliance Officer
6 hours ago
New Delhi, India Phoenix Advisers Full timeCompany DescriptionPhoenix Advisers is a Transaction Advisory and Asset Management firm. It is based in New Delhi and Singapore. The firm was founded by experienced professionals who are capable of providing advice on complex transactions, investment advisory, and management. Their team has the valuable perspective of both ‘buy’ and ‘sell’ side...
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Compliance Officer
1 hour ago
New Delhi, India Phoenix Advisers Full timeCompany Description Phoenix Advisers is a Transaction Advisory and Asset Management firm. It is based in New Delhi and Singapore. The firm was founded by experienced professionals who are capable of providing advice on complex transactions, investment advisory, and management. Their team has the valuable perspective of both ‘buy’ and ‘sell’ side...
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Compliance Officer
4 weeks ago
New Delhi, India InBrok (IFSC) Private Limited Full timeCompliance Officer (CO) – InBrok (IFSC) Private LimitedLocation: GIFT City – IFSC, GandhinagarEmployment Type: Full-time | On-siteDepartment: Compliance & Regulatory Affairs---About InBrokInBrok is an emerging-market broker-dealer in the IFSC ecosystem, positioned at the intersection of regulatory innovation, and next-generation capital markets...
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Compliance Officer
4 weeks ago
New Delhi, India InBrok (IFSC) Private Limited Full timeCompliance Officer (CO) – InBrok (IFSC) Private Limited Location:GIFT City – IFSC , Gandhinagar Employment Type:Full-time | On-site Department: Compliance & Regulatory Affairs--- About InBrokInBrok is an emerging-market broker-dealer in the IFSC ecosystem, positioned at the intersection of regulatory innovation, and next-generation capital markets...
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Compliance Officer
2 hours ago
New Delhi, India Taurus Mutual Fund Full timePosition:Compliance Officer Department : Compliance Location:Gurugram Reporting to:EVP - Governance Qualification & Experience : Post Graduation with 10 plus years of relevant work experience in Compliance Role & Qualified Company Secretary. CTC Range : As per industry standardsJob Role: •To ensure, monitor and comply with SEBI Regulations for Mutual Fund...
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Compliance Officer
2 weeks ago
New Delhi, India SKS Enterpprises - Human Resource Planning and Management Full timeJob Title: Compliance Officer & Manager – Finance & Accounts Location: GIFT City, Gandhinagar Years of experience - 3About the Role We are looking for a dynamic professional who is a Chartered Accountant (CA)/ Company Secretary (CS) to lead compliance and manage finance functions for our Fund operations in GIFT City. This is a dual-role position involving...
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Compliance Officer
2 weeks ago
New Delhi, India SKS Enterpprises - Human Resource Planning and Management Full timeJob Title: Compliance Officer & Manager – Finance & Accounts Location: GIFT City, Gandhinagar Years of experience - 3About the Role We are looking for a dynamic professional who is a Chartered Accountant (CA)/ Company Secretary (CS) to lead compliance and manage finance functions for our Fund operations in GIFT City. This is a dual-role position involving...
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Compliance Officer
2 days ago
Delhi, India Intellectual Capital HR Consulting Pvt. Ltd. Full timeCompliance Officer Roles and Responsibilities : Monitoring : The compliance officer monitors the firm's day-to-day compliance with stock exchanges and depositories. They also monitor the compliance of KYC and AML & PMLA guidelines. Responding to notices :The compliance officer responds to surveillance notices, show cause notices, and adjudicating orders from...
