Compliance Officer

Qualifications:

Bachelor's or Post Graduate degree in Finance, Economics, Business, or related field.

Work Experience:

A professional with at least 3-5 years of experience in handling the regulatory requirements of RIAs & MFD division of a mid or a small level firm.

Responsibilities:

• Manage Compliance aspects of Investment Advisory (RIA), Mutual Fund Distribution
• Ensure all regulatory submissions/filings are done in time, and the record is maintained
• All relevant policies are regularly updated
• Ensure new circulars released by regulators i.e. SEBI/AMFI are reviewed, discussed and implemented (Guide various teams, make plan and ensure implementation)
• Manage relationships with regulators and assist with the firm’s response to regulatory inspection/observations
• Ensure timely completion of Internal/External Audits
• Assist in various compliance matters/opinions in day-to-day activities, Review of various documents, and ensure that all providers of products/services have contractual relationships enforced
• Managing clients (internal) queries in a timely manner to resolve grievances
• Regular updates/training to employees related to compliance and ensure that the Advisory, Planning & Operations team is compliant in all respects
• Review of surveillance alerts and action on the same

Skills:

• Strong knowledge of the regulatory framework governing financial businesses in India, with experience across multiple laws and regulators.
• Ability to manage compliance communication with regulators, exchanges, and government departments.
• Excellent written and verbal communication skills with clear, structured articulation.
• Strong interpersonal skills, adaptability, and a solution-oriented mindset.
• Focused approach towards timely completion of compliance tasks and deliverables.
• Ability to collaborate effectively with internal teams, auditors, exchanges, regulators, authorities, and external consultants.
• Professional appearance with strong workplace etiquette and people-friendly behavior.
• Client-service oriented, with experience in interacting with market participants such as auditors, regulators, and mutual fund houses.
• Team player with a respectful, approachable, and positive attitude.
• Willingness to learn, accept guidance, and take initiative as a self-starter.

Job Type: Full-time

Pay: ₹300,000.00 - ₹500,000.00 per year

Work Location: In person