Compliance Officer

This role is for one of Weekday s clients Min Experience 4 years Location Mumbai JobType full-time Requirements We are seeking a dedicated and detail-oriented Compliance Officer with at least 4 years of experience in the financial services industry with a strong focus on Regulatory Investment Advisory RIA Non-Discretionary ND portfolio management Distribution and Investment Advisory compliance functions The role involves ensuring that all business operations advisory services and client interactions are conducted in full compliance with applicable laws rules and regulations while safeguarding the organization s reputation and mitigating risk This position requires a professional with a deep understanding of compliance frameworks SEBI AMFI regulations and investment advisory guidelines combined with the ability to guide internal teams and provide actionable insights to ensure adherence across all functions Key Responsibilities Regulatory Compliance Oversight Oversee compliance for RIA Distribution and Non-Discretionary ND investment advisory services Ensure all regulatory submissions filings and disclosures are completed accurately and within prescribed timelines Review and update compliance manuals policies and internal frameworks to align with evolving regulations Monitor business activities to ensure compliance with SEBI AMFI and other relevant regulatory authorities Advisory Transaction Monitoring Ensure all advisory distribution and ND transactions comply with regulatory standards and internal policies Conduct periodic checks on investment recommendations execution processes and reporting structures Provide compliance guidance on the structuring and distribution of financial products Audit Inspection Reporting Coordinate and manage internal and external audits ensuring timely closure of observations Maintain complete documentation and audit trails of compliance activities for regulatory inspections Prepare periodic compliance reports for senior management and regulators Training Policy Implementation Conduct compliance training sessions for teams ensuring awareness of regulatory changes insider trading rules AML requirements and investment advisory standards Ensure all employees adhere to compliance standards and report breaches or potential risks promptly Stakeholder Regulator Liaison Serve as the key point of contact with regulators auditors and legal advisors Address regulatory queries and support the firm s response to inspections and compliance reviews Collaborate with internal teams including sales advisory product operations and legal to ensure compliance alignment Risk Management Identify potential compliance risks related to investment advisory ND transactions and distribution activities Implement preventive measures to reduce regulatory operational and reputational risks Escalate non-compliance issues to management with recommended corrective actions Skills Qualifications 4 years of compliance experience in financial services wealth management or investment advisory firms Strong knowledge of RIA regulations ND compliance frameworks distribution rules and investment advisory standards Solid understanding of SEBI AMFI and other regulatory requirements Experience in policy drafting compliance audits and regulatory filings Excellent communication skills to interact with regulators auditors and internal stakeholders Strong analytical problem-solving and risk management skills Proficiency in compliance and reporting tools familiarity with legal documentation and regulatory systems Graduate Postgraduate in Law Finance or related fields A Company Secretary CS or compliance certification is a plus