Compliance Officer

1 week ago

Mumbai, India Octanom Tech Full time

Company Overview:

Octanom Tech Private Limited is a leading Invest Tech firm that operates , India's first 'Hedged-Style' trading and investing platform. We are focused on minimizing losses rather than maximizing profits, utilizing advanced AI technology to efficiently manage risk across financial instruments. As a SEBI- registered Research Analyst (RA) firm, we uphold stringent compliance and regulatory standards.

Job Title: Compliance Manager

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

Job Summary:

We are seeking an experienced Compliance Manager to oversee our compliance framework, ensuring that all operations adhere to legal regulations and internal policies. This role requires a proactive approach to coordinating with regulatory bodies, managing compliance documentation, and maintaining an up-to-date understanding of the regulatory landscape affecting our business.

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 (SEBI's 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:

· Bachelor's degree in Law, Finance, Business Administration, or a related field. Master's 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.

Job Types: Full-time, Permanent

Pay: ₹30, ₹70,000.00 per month

Benefits:

  • Provident Fund

Work Location: In person

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