Compliance Officer
3 days ago
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
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