Compliance Officer

3 weeks ago


Ibrahim Bagh Lines, India Validus Fintech Services Pvt Ltd Full time
{"Job Title": "Compliance Officer", "Job Overview": "We are seeking a highly qualified and experienced Compliance Officer to ensure that Validus Fintech adheres to all regulatory requirements in its operations as an RTA and as a private limited company. This role also involves providing regulatory guidance to clients to help them stay compliant.", "Key Responsibilities": "Regulatory Compliance (RTA and Financial Services)
  • Ensure Validus Fintech complies with all applicable regulatory requirements from SEBI, AMFI, and other financial regulatory authorities.
  • Maintain up-to-date knowledge of all regulatory changes and ensure they are implemented within the organization.
  • Oversee the accurate and timely submission of regulatory filings and reports.
Corporate Compliance (Private Limited Company)
  • Ensure Validus Fintech complies with all corporate regulations applicable to a private limited company, including but not limited to:
  • Provident Fund (PF)
  • Employee State Insurance (ESIC)
  • Professional Tax (PT)
  • Labour laws (as applicable)
  • Company Law and Registrar of Companies (ROC) filings
Client Compliance Support
  • Provide compliance support and advice to clients, including mutual funds, AIFs, and other financial institutions.
  • Assist clients in understanding and implementing regulatory requirements that impact RTA services, such as KYC/AML norms, transaction processing, and reporting.
Risk Management
  • Develop and maintain a compliance risk management framework, identifying and mitigating risks that could impact Validus and its clients.
  • Conduct regular audits and compliance checks across the organization.
Policy Development
  • Draft and implement internal compliance policies and procedures for Validus Fintech.
  • Ensure all departments within Validus, including client-facing teams, are educated on compliance policies and regulatory changes.
Regulatory Reporting
  • Manage the process for SEBI filings, AMFI reporting, and any other regulatory submissions required for Validus Fintech and its clients.
  • Handle statutory filings related to PF, ESIC, labour laws, and other corporate compliances.
Stakeholder Engagement
  • Collaborate with regulatory authorities, clients, auditors, and internal departments to resolve compliance issues and ensure adherence to regulations.

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