Senior Compliance Officer

1 week ago

Delhi, Delhi, India NJ Group Full time
About NJ Group

NJ Group is a leading player in the Indian financial services industry, renowned for its robust distribution capabilities. With a strong foundation established in 1994 through NJ India Invest Pvt. Ltd., the flagship company has diversified into various businesses and currently maintains a presence across multiple sectors, including financial products distribution networks, asset management, real estate, insurance broking, training & development, and technology.

The company's rich experience in financial services, combined with its executional capabilities and strong process & system orientation, has enabled it to forge a rising growth trajectory in its businesses. Our product offerings range from mutual funds and insurance to realty, information technology, wellness, interiors, and loan solutions.

NJ Group is headquartered in Surat, Gujarat, and has a presence in over 165 locations across India, Mauritius, and Dubai, employing more than 2000 professionals and having over 42,105 active advisors associated with the group. We cater to more than 34 lakh investors, managing an impressive total Asset Under Advice of ₹ 2,42,599 Cr.

About NJ Asset Management

NJ asset management is a 100% subsidiary of NJ India Invest, serving as the asset management arm of the group with a focus on mutual fund business and portfolio management services (PMS). Led by Mr. Vineet Nayyar, Deputy CEO, who boasts 20 years of experience in the mutual fund sector, our vision is to provide relevant products to Indian investors covering equity mutual funds, exchange-traded funds (ETFs), fixed income funds, and international equities.

Our commitment to simplicity, discipline, and rule-based investing forms the core of NJ asset management's business philosophy and investment strategy. We employ a factor-based investing approach for all our MF and PMS offerings, currently managing over ₹ 11,311 cr across these products, making us the largest factor investment firm in India.

Job Description

We are seeking a highly skilled Senior Compliance Officer to join our team. Key responsibilities include:

  • Preparing offer documents, notices, and addendums.
  • Ensuring compliance with SEBI regulations under the Mutual Fund Rules, FEMA, Anti-Money Laundering laws, and KYC requirements.
  • Creating limits in the Front Office System and preparing reports for SEBI and the Board of Directors.
  • Vetting advertisement and marketing materials.
  • Liaising with auditors and resolving any audit queries.
  • Reviewing the Risk Management Framework.
  • Conducting committee meetings, preparing, and updating manuals and policies on a timely basis.
  • Preparing Investment Risk Reports.
  • Providing regulatory updates to stakeholders and ensuring all mandatory compliance training is provided.
  • Handling compliance queries raised by employees from various business divisions.
Key Skills and Qualifications

To be successful in this role, you will need:

  • A degree in law or a related field.
  • Significant experience in compliance and risk management within the financial services industry.
  • Excellent communication and interpersonal skills.
  • Able to work effectively in a team environment.
  • Proficiency in Microsoft Office applications, particularly Excel.
Benefits and Remuneration

This role offers a competitive annual CTC ranging from ₹ 8 lac to ₹ 10 lac, depending on your experience and qualifications. You will also enjoy benefits such as health insurance, paid time off, and opportunities for professional growth and development.

Located in the heart of Mumbai's BKC, we offer a dynamic and supportive work environment that fosters collaboration and innovation. If you are a motivated individual looking for a challenging and rewarding career opportunity, please apply now.

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