Compliance Officer

**About Validus Fintech**:
Validus Fintech is a dynamic and innovative Fintech providing comprehensive Registrar and Transfer Agent (RTA) services. Our core focus is on delivering seamless, technology-driven solutions to mutual funds, ETFs, and alternative investment funds (AIFs). With a strong commitment to regulatory excellence and operational efficiency, we empower our clients to meet their compliance obligations while driving growth. At Validus, we believe in fostering a collaborative and forward-thinking environment, where every team member plays a critical role in our success.

**Job Overview**:
**Key Responsibilities**:

- **Regulatory Compliance (RTA and Financial Services)**:

- Ensure Validus Fintech complies with all applicable regulatory requirements from SEBI, AMFI, and other financial regulatory authorities.
- Maintain up-to-date knowledge of all regulatory changes and ensure they are implemented within the organization.
- Oversee the accurate and timely submission of regulatory filings and reports.
- **Corporate Compliance (Private Limited Company)**:

- Ensure Validus Fintech complies with all corporate regulations applicable to a private limited company, including but not limited to:

- Provident Fund (PF)
- Employee State Insurance (ESIC)
- Professional Tax (PT)
- Labour laws (as applicable)
- Company Law and Registrar of Companies (ROC) filings
- Liaise with relevant government departments for statutory compliance and timely filings.
- **Client Compliance Support**:

- Provide compliance support and advice to clients, including mutual funds, AIFs, and other financial institutions.
- Assist clients in understanding and implementing regulatory requirements that impact RTA services, such as KYC/AML norms, transaction processing, and reporting.
- **Risk Management**:

- Develop and maintain a compliance risk management framework, identifying and mitigating risks that could impact Validus and its clients.
- Conduct regular audits and compliance checks across the organization.
- **Policy Development**:

- Draft and implement internal compliance policies and procedures for Validus Fintech.
- Ensure all departments within Validus, including client-facing teams, are educated on compliance policies and regulatory changes.
- **Regulatory Reporting**:

- Manage the process for SEBI filings, AMFI reporting, and any other regulatory submissions required for Validus Fintech and its clients.
- Handle statutory filings related to PF, ESIC, labour laws, and other corporate compliances.
- **Stakeholder Engagement**:

- Collaborate with regulatory authorities, clients, auditors, and internal departments to resolve compliance issues and ensure adherence to regulations.

**Required Qualifications**:

- Bachelor's or Master’s degree in Law, Finance, or a related field.
- Minimum 2-4 years of experience in regulatory compliance within the financial services industry, particularly in RTAs, mutual funds, or related sectors.
- In-depth knowledge of SEBI, AMFI, and other financial regulatory frameworks.
- Strong understanding of KYC/AML guidelines and other financial compliance processes.
- Experience in managing corporate statutory compliances such as PF, ESIC, and ROC filings.

**Key Skills**:

- Excellent knowledge of the Indian regulatory landscape related to mutual funds, ETFs, AIFs, RTAs, and corporate statutory obligations.
- Strong leadership and decision-making skills with the ability to handle complex regulatory issues.
- Excellent communication and interpersonal skills to manage relationships with regulatory authorities, clients, and internal teams.
- Detail-oriented and able to handle sensitive information with discretion.

**Preferred**:

- Experience working with fintech companies or RTAs.
- Knowledge of FEMA (Foreign Exchange Management Act) and related regulations would be an added advantage.
- Certification in compliance or regulatory affairs.

**Job Types**: Full-time, Permanent

Pay: ₹500,000.00 - ₹700,000.00 per year

**Benefits**:

- Health insurance
- Provident Fund

Schedule:

- Day shift
- Monday to Friday

**Experience**:

- financial regulatory: 3 years (required)
- Regulatory Compliance-RTA and Financial Services: 2 years (required)
- total work: 2 years (preferred)

Work Location: In person