Compliance Officer

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.