Compliance Officer

17 hours ago

Pune, Maharashtra, India Mahir Full time ₹ 20,00,000 - ₹ 25,00,000 per year

Role & Responsibilities:

  • Handle compliance requirements related to SEBI, NSE, BSE, AMFI, and other regulatory bodies.
  • Prepare and file periodic compliance reports, returns, and documentation as required by regulators.
  • Draft, update, and maintain internal policies, SOPs, disclaimers, and compliance frameworks for the organization.
  • Ensure that all advisory operations and communication practices are aligned with regulatory norms.
  • Monitor data governance, user privacy protocols, and risk mitigation processes across platforms.
  • Coordinate with internal teams (Product, Tech, Advisory) to ensure compliance in product features and communication.
  • Maintain updated knowledge of changes in guidelines, circulars, regulatory announcements, and advisory practices.
  • Conduct internal audits and compliance checklists regularly, identifying gaps and suggesting corrective actions.
  • Work closely with founders and core team for ensuring ethical, transparent, and trust-driven work culture.

Preferred Candidate Profile:

  • 15 years of experience in Compliance / Risk / Legal / Audit within financial services, advisory, brokerage, RIA firm, PMS, or mutual fund platforms.
  • Understanding of SEBI IA Regulations, KYC/AML norms, investment advisory ethics framework, documentation controls, and client management compliance.
  • Good communication skills and comfort working in a fast-paced, mission-driven startup environment.
  • Certifications like NISM XA/XB are an added advantage, not mandatory.
  • Someone who takes ownership of work and is proactive in building processes.

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