Compliance Officer

About The 1% Club:

Our exclusive members-only community is designed with a clear purpose: to guide individuals towards achieving financial freedom and reaching the top 1%. We firmly believe that India&aposs financial services sector is underutilized, and our core strategy revolves around raising awareness through targeted content creation, effectively channeling a high-intent audience towards financial services.As Members Of Our Community, Our Primary Commitment Shifts Towards Empowering Individuals To Embrace The All-encompassing Lifestyle Enjoyed By The Top 1%. This Entails

• Enhancing their financial returns.
• Unlocking their full earning potential.
• Cultivating a robust network of connections.
  

Position Overview

We are seeking a Compliance Officer to join our Wealth Management department, specifically to manage regulatory and compliance-related activities under the RIA (Registered Investment Adviser) framework. The ideal candidate will have 12 years of experience in handling RIA compliance matters and a good understanding of SEBI guidelines, with the ability to support internal governance and ensure regulatory adherence.

Key Responsibilities

• Ensure adherence to SEBI (Investment Advisers) Regulations, 2013 and any subsequent amendments
• Handle SEBI filings, reporting, disclosures, and documentation in a timely and accurate manner
• Maintain up-to-date compliance records including KYC, client risk profiling, investment rationale, and advisory agreements
• Review and vet all client communications, investment advice, marketing materials, and digital content for compliance
• Assist in the preparation and maintenance of internal audit checklists, compliance registers, and standard operating procedures (SOPs)
• Conduct internal compliance checks and audits at defined intervalsAct as the liaison with regulatory bodies including SEBI during inspections or audits
• Support senior management by highlighting compliance gaps and suggesting process improvements
• Stay updated on regulatory changes, circulars, and industry best practices and communicate them internally
• Assist in training and educating team members on compliance and regulatory matters
  

Requirements

• 12 years of hands-on experience in compliance roles within RIA/Wealth Management/Financial Advisory setup
• Strong knowledge of SEBI guidelines, especially those applicable to Registered Investment Advisers
• Familiarity with documentation related to client onboarding, portfolio reporting, and conflict of interest management
• Proficiency in MS Office tools (Excel, Word, PPT)
• Detail-oriented, process-driven, and proactive approach to work
• Excellent interpersonal skills and ability to work with multiple internal teams
  

Preferred Qualifications

• Exposure to working in a WealthTech, Fintech, or financial advisory setup
• Experience with compliance tracking tools or software
  

Life at The 1% Club:Founded by Sharan Hegde (linkedin.com/in/sharanhegde95) and Raghav Gupta (linkedin.com/in/raghavgupta01), company culture is centered around creativity, innovation, and teamwork, and we value our employees as much as we value our audience. We provide a fun andinclusive work environment with opportunities for growth and development. And if that&aposs not enough, we also offer a competitive salary and a chance to work on exciting projects that challenge you to think outside the box and push the boundaries of what&aposs possible. So if you&aposre a social media savvy personal finance enthusiast looking for a cool place to work, join our team and be part of our mission to educate and empower India to take control of their finances. Don&apost miss out on the opportunity to be a part of a talented and dedicated team working towards a common goal.

Apply now to join our team!

Skills: conflict of interest management,sebi regulations,documentation,ms office proficiency,ria,kyc,compliance,sop development,portfolio reporting,client onboarding documentation,regulatory adherence,sop authoring,wealth management,sopc builder,sebi guidelines