Compliance Officer

2 days ago

uttar pradesh, India Fincart Financial Planners Full time

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) – PreferredCandidates 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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