Compliance Officer
3 days ago
Qualifications:
Bachelor's or Post Graduate degree in Finance, Economics, Business, or related field.
Work Experience:
A professional with at least 3-5 years of experience in handling the regulatory requirements of RIAs & MFD division of a mid or a small level firm.
Responsibilities:
- Manage Compliance aspects of Investment Advisory (RIA), Mutual Fund Distribution
- Ensure all regulatory submissions/filings are done in time, and the record is maintained
- All relevant policies are regularly updated
- Ensure new circulars released by regulators i.e. SEBI/AMFI are reviewed, discussed and implemented (Guide various teams, make plan and ensure implementation)
- Manage relationships with regulators and assist with the firm's response to regulatory inspection/observations
- Ensure timely completion of Internal/External Audits
- Assist in various compliance matters/opinions in day-to-day activities, Review of various documents, and ensure that all providers of products/services have contractual relationships enforced
- Managing clients (internal) queries in a timely manner to resolve grievances
- Regular updates/training to employees related to compliance and ensure that the Advisory, Planning & Operations team is compliant in all respects
- Review of surveillance alerts and action on the same
Skills:
- Strong knowledge of the regulatory framework governing financial businesses in India, with experience across multiple laws and regulators.
- Ability to manage compliance communication with regulators, exchanges, and government departments.
- Excellent written and verbal communication skills with clear, structured articulation.
- Strong interpersonal skills, adaptability, and a solution-oriented mindset.
- Focused approach towards timely completion of compliance tasks and deliverables.
- Ability to collaborate effectively with internal teams, auditors, exchanges, regulators, authorities, and external consultants.
- Professional appearance with strong workplace etiquette and people-friendly behavior.
- Client-service oriented, with experience in interacting with market participants such as auditors, regulators, and mutual fund houses.
- Team player with a respectful, approachable, and positive attitude.
- Willingness to learn, accept guidance, and take initiative as a self-starter.
Job Type: Full-time
Pay: ₹300, ₹500,000.00 per year
Work Location: In person
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