Urgent Requirement For the Compliances Manager

3 weeks ago

Borivali, India Octanom Tech Full time

Key Responsibilities:

  • Coordinate with our Company Secretary firm to ensure full compliance with audit requirements for SEBI-registered RA firms.
  • Monitor and manage activities related to SCORES 2.0 (SEBIs portal for lodging complaints), maintaining a daily log of complaints and ensuring effective resolution.
  • Keep accurate and current records of all daily published trading and investing strategies, including Options Structures and Simply-Hedged Funds.
  • Develop and enforce robust compliance programs and policies that mitigate legal and regulatory risks.
  • Educate and train staff on compliance requirements and foster a culture of compliance throughout the organization.
  • Stay informed about changes in regulations that may affect the firm and adapt compliance strategies accordingly
  • Prepare detailed compliance reports for senior management, outlining issues, solutions, and progress.

Qualifications:

  • Bachelors degree in Law, Finance, Business Administration, or a related field. Masters degree or professional compliance certifications (e.g., CCO, CRCM) preferred.
  • A minimum of 5 years of experience as a Compliance Manager in the financial services industry, with a strong preference for candidates familiar with SEBI regulations and compliance management for RA firms.
  • Comprehensive knowledge of the regulatory framework governing financial services and research analysis.
  • Exceptional analytical, organizational, and communication skills.
  • Proven ability to manage multiple tasks and projects effectively under tight deadlines.
  • Demonstrated integrity and professionalism.

Work Schedule:

  • Working days: Monday to Saturday
  • Work from Home: Saturdays

What We Offer:

  • A critical role in a pioneering financial technology company.
  • A chance to lead and shape the compliance strategy in a dynamic regulatory environment.
  • Competitive salary and benefits package.

Location: C-309 Kanakia Zillion, Lal Bahadur Shastri Marg, Rupa Nagar, Kapadia Nagar, Mumbai.

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