Compliance Officer & Company Secretary

Company Description

At Stellar (https://stellarcapital.ai/), we're building AI-powered investment management for modern Indians.

Powered by advanced AI and institutional-grade quantitative research, Stellar Capital Management helps modern Indians achieve smooth net worth growth. The company focuses on true risk diversification that complements a holistic financial picture. Clients experience hyper-personalized investment management with unmatched transparency and convenience.

Compensation Highlights

• Top-of-market cash compensation
• Free access to Stellar's employee-only investment fund

Role Description

We are recruiting for a compliance officer & company secretary in Mumbai:

1️⃣ Compliance Ownership

• Lead end-to-end compliance processes and liaisoning across SEBI, RoC, and other regulatory bodies, including for initial PMS license procurement
• Proactively anticipate regulatory changes and adapt compliance processes ahead of formal announcements
• Undertake the responsibilities of our designated company secretary

2️⃣ Operational Excellence

• Oversee PMS fund operations: NAV reporting, digital KYC/AML, accurate fee processing, etc
• Handle client interactions, sales support, onboarding processes, and grievance resolution

3️⃣ Governance, Legal, and Finance Coordination

• Coordinate closely with external CA, legal advisors, and internal stakeholders to uphold impeccable corporate governance, taxation, IP, and trademark management
• Manage internal financial operations, banking transactions, payments, expenses, accounting, and payroll processes

Preferred Background

• Experience: 5+ years in compliance and operations for a SEBI-registered PMS, with a track record of successfully navigating regulatory audits
• Education: Qualifications in CS (eligible to be the designated CS) and CA (or accounting/finance degree)
• Versatility: Enthusiastic about proactively taking ownership of diverse responsibilities across compliance, operations, finance, and client interactions
• Bonus: Zero-to-one experience at fintech startups and interest in staying fluent in modern AI tools

Stellar Culture

Fulfilment through the best work of our lives

🌟 Pursuit of Excellence

We are not a family; we are a high-performance sports team- and our sport is solving users' problems

🧠 Talent Density

We prefer to hire one AI-augmented superhuman over five average players- that's why we offer top-of-market compensation and free access to the employee-only fund

💡 Relentless Innovation

Dare to solve daunting problems with first principles thinking, multidisciplinary ingenuity, resourcefulness, and grit

🚀 The Fast and The Curious

The speed of execution and improvement matters more than perfection

💭 Radical Candor

Being kind is more important than being nice- say what people need to hear, not what you think they want to hear, and actively seek feedback

📊 Truth Alone Triumphs

Change your mind when the facts change, and don't fool yourself with vanity metrics (Delulu is not the solulu)

🎨 Pride in Craftsmanship

What we build ends up building us- this is more than "just work"

🦅 Fewer Rules Rule

Thrive in freedom by being self-motivated, taking ownership, and always acting in Stellar's best interests

Contact

join@stellarcapital.ai