Compliance Specialist

4 days ago

Davangere, Karnataka, India beBeeCompliance Full time ₹ 10,00,000 - ₹ 15,00,000
Job Description

The organization requires a Compliance Officer to ensure adherence to statutory, regulatory, and internal governance requirements.

The role involves overseeing internal processes, vendor risk, regulatory filings, and compliance training initiatives. Main Responsibilities:

  • Compliance Audit and Reporting: Conduct thorough reviews and maintain documentation to ensure adherence to regulatory requirements and internal standards.
  • Corporate Governance Review: Evaluate the organization's governance framework to ensure alignment with regulatory expectations and industry best practices.
  • Internal Controls and Process Audits: Review and assess internal processes to identify control gaps and support the implementation of robust internal controls.
  • POSP Compliance Review: Audit onboarding, training, and operations of Point of Sales Persons (POSPs) in accordance with applicable compliance guidelines.
  • Business Continuity and Disaster Recovery Review: Support the implementation and testing of Business Continuity Planning (BCP) and Disaster Recovery (DR) frameworks.
  • Training and Awareness Programs: Develop and conduct regular training sessions on AML/KYC norms, cybersecurity, and operational risk management.
  • Documentation for Regulatory Filings: Assist in preparing and submitting timely, accurate documentation for statutory filings such as shareholding changes, periodic returns, etc.
  • Gap Analysis and Risk-Based Recommendations: Conduct gap analyses to identify areas of non-compliance and provide tailored, risk-based recommendations.
  • Third-Party Vendor Due Diligence: Perform compliance and risk assessments on third-party vendors to ensure appropriate controls are in place.

Required Skills and Qualifications:

  • Strong understanding of regulatory frameworks
  • Excellent knowledge of corporate governance and internal control systems
  • 4–10 years of experience in regulatory compliance, audits, or governance
  • Strong documentation, communication, and presentation abilities
  • Ability to collaborate across functions and manage multiple priorities effectively
  • Candidates with relevant backgrounds will also be considered

Benefits:

  • Opportunity to work in a dynamic environment
  • Chance to develop expertise in compliance and governance
  • Collaborative team environment

Key Skills & Experience:

  • Chartered Accountant (CA)
  • MBA (Finance / Risk / Compliance)
  • LLB / LLM (Corporate Law / Compliance)
  • Company Secretary (CS)
  • Graduate/Postgraduate in Commerce, Finance, or Business Law

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