Financial Services Compliance Specialist

2 weeks ago


Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 12,35,040 - ₹ 28,82,545

Job Title: Compliance Officer

This challenging role requires a seasoned professional with 7+ years of experience in the financial services industry, particularly in investment and asset management.

  • Ensure compliance with applicable laws, regulations, and internal policies across investment/asset management operations.
  • Provide guidance on corporate governance practices and regulatory frameworks.
  • Draft, review, and maintain compliance-related policies and procedures.
  • Oversee regulatory filings and maintain statutory records in line with requirements.
  • Liaise with regulatory authorities and respond to their queries promptly.
  • Monitor and report on compliance risks and recommend corrective measures.
  • Conduct training sessions for internal stakeholders.
  • Support the legal department in handling compliance-related matters and audits.

Requirements:

  • A professional qualification in Company Secretaryship or a related field with 7+ years of experience.
  • Strong knowledge of compliance frameworks within the financial services industry.
  • Experience working in investment/asset management is preferred.
  • Excellent understanding of corporate governance and regulatory requirements.
  • Strong analytical and problem-solving skills.
  • Ability to collaborate effectively with internal and external stakeholders.


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