Compliance Specialist

3 weeks ago


Mumbai, Maharashtra, India Omniscience Capital Full time

About the Role:

We are seeking a detail-oriented and proactive Compliance Specialist to join our team at OmniScience Capital in Mumbai. This role is critical in ensuring that our firm operates within the legal and regulatory framework, maintaining our reputation for integrity and excellence.

Key Responsibilities:

  • Monitor and ensure compliance with regulatory requirements (SEBI, BSE, SEC, ROC) and internal policies.
  • Conduct regular audits and assessments to identify potential compliance issues.
  • Develop and implement compliance programs and training for employees.
  • Stay updated on changes in laws and regulations affecting the investment management industry.
  • Prepare and submit regulatory filings and reports.
  • Collaborate with various departments to address compliance-related concerns.
  • Investigate and resolve compliance violations and recommend corrective actions.
  • Maintain accurate and up-to-date compliance records and documentation.
  • Assist in the development and review of compliance policies and procedures.
  • Provide guidance and support to staff on compliance-related matters.
  • Coordinating and handling (both internal & external) compliance audit queries.
  • Establishing processes and trackers to ensure compliance with SEBI, BSE, SEC, and ROC guidelines.
  • Ensuring timely collection and maintenance of quarterly/annual compliance requirements.
  • Ensure full compliance with audits, controls, and processes in accordance with SEBI, BSE, SEC, and ROC regulations.

Requirements:

  • Strong knowledge of regulatory requirements of SEBI, BSE, SEC, ROC and industry best practices.
  • Excellent analytical and problem-solving skills.
  • Strong attention to detail and ability to work independently.
  • Effective communication and interpersonal skills.
  • Ability to manage multiple tasks and meet deadlines.

Preferred Qualifications:

  • Bachelor's degree in Law, Finance, Business Administration, Accounting, or a related field.
  • CS/LLM/LLB is highly desirable.
  • Professional certifications such as Certified Anti-Money Laundering Specialist (CAMS), Certified Regulatory Compliance Manager (CRCM), Financial Risk Manager (FRM), NISM III-A or equivalent.

Salary: ₹80-120 lakhs per annum

Location: Mumbai


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