Compliance Officer

3 days ago

Mumbai, Maharashtra, India Octanom Tech Full time ₹ 42,00,000 - ₹ 84,00,000 per year

Company Overview:

Octanom Tech Private Limited is a leading Invest Tech firm that operates , India's first 'Hedged-Style' trading and investing platform. We are focused on minimizing losses rather than maximizing profits, utilizing advanced AI technology to efficiently manage risk across financial instruments. As a SEBI- registered Research Analyst (RA) firm, we uphold stringent compliance and regulatory standards.

Job Title: Compliance Manager

Location: C-309 Kanakia Zillion, Lal Bahadur Shastri Marg, Rupa Nagar, Kapadia Nagar, Mumbai.

Job Summary:

We are seeking an experienced Compliance Manager to oversee our compliance framework, ensuring that all operations adhere to legal regulations and internal policies. This role requires a proactive approach to coordinating with regulatory bodies, managing compliance documentation, and maintaining an up-to-date understanding of the regulatory landscape affecting our business.

Key Responsibilities:

· Coordinate with our Company Secretary firm to ensure full compliance with audit requirements for SEBI-registered RA firms.

· Monitor and manage activities related to SCORES 2.0 (SEBI's portal for lodging complaints), maintaining a daily log of complaints and ensuring effective resolution.

· Keep accurate and current records of all daily published trading and investing strategies, including Options Structures and Simply-Hedged Funds.

· Develop and enforce robust compliance programs and policies that mitigate legal and regulatory risks.

· Educate and train staff on compliance requirements and foster a culture of compliance throughout the organization.

· Stay informed about changes in regulations that may affect the firm and adapt compliance strategies accordingly.

· Prepare detailed compliance reports for senior management, outlining issues, solutions, and progress.

Qualifications:

· Bachelor's degree in Law, Finance, Business Administration, or a related field. Master's degree or professional compliance certifications (e.g., CCO, CRCM) preferred.

· A minimum of 5 years of experience as a Compliance Manager in the financial services industry, with a strong preference for candidates familiar with SEBI regulations and compliance management for RA firms.

· Comprehensive knowledge of the regulatory framework governing financial services and research analysis.

· Exceptional analytical, organizational, and communication skills.

· Proven ability to manage multiple tasks and projects effectively under tight deadlines.

· Demonstrated integrity and professionalism.

Work Schedule:

· Working days: Monday to Saturday

· Work from Home: Saturdays

What We Offer:

· A critical role in a pioneering financial technology company.

· A chance to lead and shape the compliance strategy in a dynamic regulatory environment.

· Competitive salary and benefits package.

Job Types: Full-time, Permanent

Pay: ₹30, ₹70,000.00 per month

Benefits:

  • Provident Fund

Work Location: In person

  • Compliance Officer

    2 weeks ago

    Mumbai, Maharashtra, India Equirus Full time ₹ 5,00,000 - ₹ 15,00,000 per year

    Job Description:About EquirusAbout Equirus WealthEquirus is a leading mid‐market investment bank with strong practices around M&A, PE, Capital Markets, Institutional Equities, Wealth Management, Insurance Broking, and Portfolio Management Services.For more details you can visit us at Equirus Wealth is a holistic Wealth Management platform founded in 2018...

  • IT Compliance Officer

    2 weeks ago

    Mumbai, Maharashtra, India ERGO Technology & Services Full time ₹ 12,00,000 - ₹ 24,00,000 per year

    The IT Compliance Officer reports to the Head of IT Audit Coordination APAC based in Singapore. This role sits in the sub tower which is the central point for managing all IT audits and regulatory questionnaires, both internal and external. The goal of the sub tower is to ensure a smooth and effective evaluation process by acting as the primary coordination...

  • Compliance Officer

    6 days ago

    Mumbai, Maharashtra, India Weekday AI Full time ₹ 8,00,000 - ₹ 24,00,000 per year

    This role is for one of Weekday's clientsMin Experience: 4 yearsLocation: MumbaiJobType: full-timeRequirementsWe are seeking a dedicated and detail-oriented Compliance Officer with at least 4+ years of experience in the financial services industry, with a strong focus on Regulatory Investment Advisory (RIA), Non-Discretionary (ND) portfolio management,...

  • Assistant

    3 days ago

    Mumbai, Maharashtra, India Compliance Sathi Full time ₹ 3,00,000 - ₹ 4,50,000 per year

    Company DescriptionCompliance Sathi specializes in a wide variety of services including the formation of companies and LLPs, registration of societies and trusts, annual compliance with XBRL, and corporate law advice. Our practice areas also cover secretarial audits, due diligence, conversions of companies and LLPs, IEPF processes, IPO and listing...

  • Internal Compliance Officer

    3 days ago

    Mumbai, Maharashtra, India Augmont Goldtech Full time ₹ 9,00,000 - ₹ 12,00,000 per year

    Internal Compliance Officer (Fractional) Global Blockchain ProjectRemote (India or Dubai)MissionKeep VARA and counterparties comfortable by establishing a strong internal compliance framework from day one.Why this role is differentThis is a new global tokenisation project and compliance is one of the most critical pillars. As Internal Compliance Officer, you...

  • Compliance and Operations Officer

    6 days ago

    Mumbai, Maharashtra, India Radha Investment Advisors LLP Full time ₹ 4,50,000 - ₹ 9,00,000 per year

    Designation: Compliance and Operations officerRole: Compliance and OperationsDepartment: Fund Management TeamLocation: Nariman Point, MumbaiJoining Date: ImmediateEmployment Type: Full – TimeQualification: Post Graduate (M.Com/MBA/M.A/M.Sc/CA/CS/CWA/CFA)Experience: 0 - 3 yearsMandatory Requirement:a) Should be Post Graduate.b) Must obtain NISM - AIF...

  • Senior Compliance Officer

    1 week ago

    Mumbai, Maharashtra, India ValueQuest Investment Advisors Full time ₹ 15,00,000 - ₹ 25,00,000 per year

    About the jobWe are seeking a dynamic and experienced Senior Compliance Officer as part of our Mumbai-based team to oversee the overall compliance framework and regulatory obligations of our Alternate Investment Funds (AIFs) in India. The role involves ensuring adherence to relevant regulations, allied laws and internal policies while providing strategic...

  • Compliance Officer

    1 week ago

    Mumbai, Maharashtra, India, Maharashtra SKS Enterpprises - Human Resource Planning and Management Full time

    Job Title: Compliance Officer – AIF/PMSLocation: Mumbai (Andheri)Experience Required: 6–7 yearsAbout the Role:We are looking for an experienced Compliance Officer to manage and oversee compliance for our Alternative Investment Fund (AIF) and Portfolio Management Services (PMS) business. The role involves ensuring adherence to SEBI regulations, internal...

  • Compliance Officer

    6 days ago

    Mumbai, Maharashtra, India Sadhana Nitro Chem Limited Full time ₹ 6,00,000 - ₹ 12,00,000 per year

    Ensure compliance with SEBI, ROC, Companies Act, and regulations. Assist in drafting, filing, and reviewing secretarial documents, maintaining statutory records, preparing board materials, and advising mgt on regulatory changes and compliance impacts Required Candidate profile• 1–3 years in compliance, preferably with a listed/public limited company.•...

  • Compliance Officer

    1 week ago

    Mumbai, Maharashtra, India Spectrum Talent Management Full time ₹ 9,00,000 - ₹ 12,00,000 per year

    Role & responsibilities :A seasoned professional responsible for ensuring full compliance with all statutory, legal, and regulatory requirements related to food safety, labor laws, factory acts, and environmental norms. Skilled in handling audits, maintaining documentation, ensuring adherence to FSSAI regulations, PF/ESI, contract labour laws, and...