Financial Services Governance and Compliance Professional

3 days ago

Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 1,50,00,000 - ₹ 2,50,00,000
Compliance Specialist Job Opportunity

This role is for a seasoned professional with experience in compliance and governance within the financial services industry. The ideal candidate will have a strong understanding of regulatory requirements, corporate governance practices, and compliance frameworks.

The job involves ensuring adherence to laws, regulations, and internal policies across investment/asset management operations. The successful applicant will also provide guidance on corporate governance and regulatory frameworks, draft and review compliance-related policies, and oversee regulatory filings.

The position requires excellent analytical and problem-solving skills, as well as the ability to collaborate effectively with internal and external stakeholders.

Responsibilities:
  • Ensure compliance with applicable laws, regulations, and internal policies.
  • Provide guidance on corporate governance and regulatory frameworks.
  • Draft, review, and maintain compliance-related policies and procedures.
  • Oversee regulatory filings and maintain statutory records.
  • Liaise with regulatory authorities and respond to queries promptly.
  • Monitor and report on compliance risks and recommend corrective measures.
  • Conduct compliance training sessions for internal stakeholders.
  • Support the legal department in handling compliance-related matters and audits.
Requirements:
  • A professional qualification in Company Secretaryship (CS) or a related field with 7+ years of experience.
  • Strong knowledge of compliance frameworks within the financial services industry.
  • Experience working in the investment/asset management sector 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.
What We Offer:

As a Compliance Specialist, you will work in a structured and professional environment with opportunities for growth and development. You will be part of a team that values collaboration and innovation.

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