Senior Compliance Specialist

3 days ago

Ahmedabad, Gujarat, India beBeeCompliance Full time ₹ 15,00,000 - ₹ 20,00,000
Compliance Officer Job Overview

We are seeking a detail-oriented and proactive Compliance Officer to oversee adherence to regulatory requirements, support internal policies, controls, and risk management frameworks.

Key Responsibilities:
  • Regulatory Compliance
    • Ensure ongoing compliance with SEBI regulations, AMFI guidelines, and circulars.
    • Monitor and interpret changes in relevant laws and regulations.
    • File mandatory regulatory reports within stipulated timelines.
  • Fund & Operational Oversight
    • Monitor daily AMC activities for policy alignment.
    • Review product documents for regulatory adherence before launch or update.
    • Oversee compliance processes related to fund accounting, NAV disclosure, and investor servicing.
  • Internal Controls & Risk Management
    • Develop and implement compliance frameworks and internal controls.
    • Conduct periodic compliance audits and risk assessments across departments.
    • Investigate potential compliance violations and recommend corrective actions.
  • Training & Awareness
    • Conduct compliance awareness sessions for employees and key stakeholders.
    • Support the team in understanding new regulatory developments.
  • Stakeholder Coordination
    • Liaise with regulatory bodies, auditors, and internal teams for inspections and queries.
    • Maintain updated compliance records and documentation.
    Required Skills and Qualifications:
    • Bachelor's or Master's degree in Law, Finance, Commerce, or related field.
    • 5–10+ years of experience in a compliance role within an AMC, mutual fund, or related financial services sector.
    • Strong knowledge of SEBI regulations and regulatory frameworks.
    • NISM certification preferred.
    Key Attributes:
    • Attention to detail with excellent analytical and problem-solving skills.
    • Strong verbal and written communication.
    • High ethical standards, integrity, and ability to handle confidential matters.

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