Compliance Officer – Stock Market & Investment Advisory

Job Title: Compliance Officer – Stock Market & Investment Advisory

Company: Sanket Awate Fintech Private Limited
Location: Kolhapur, Maharashtra
Job Type: Full-time | On-site

About Us:

Sanket Awate Fintech Pvt. Ltd. is a SEBI-registered Investment Advisory firm (INA000019381) offering services in mutual funds, insurance, stock market, and financial education. We are committed to maintaining the highest standards of compliance and ethical business practices.

Key Responsibilities:

• Ensure adherence to SEBI, AMFI, IRDAI, and Exchange-related compliance regulations.
• Maintain proper records, filings, and documentation for all financial activities.
• Oversee periodic audits, internal control checks, and regulatory reporting.
• Update and implement company policies in line with changing regulatory norms.
• Coordinate with departments (Brokerage, Mutual Fund, Insurance, YouTube & Marketing) for compliance checks.
• Monitor client advisory communications and marketing content for SEBI compliance.

Required Qualifications:

• Graduate / Postgraduate in Finance, Commerce, or Law.
• Mandatory NISM Certifications:
• NISM-Series-V-A: Mutual Fund Distributors
• NISM-Series-X-A / X-B: Investment Adviser (Level 1 & 2)
• NISM-Series-XX-A: Registered Investment Adviser (Compliance focus)
• Minimum 1–3 years of experience in compliance, audit, or advisory domain preferred.

Skills Required:

• Strong understanding of SEBI, AMFI, and RBI regulatory framework.
• Good command over Excel, Google Workspace, and documentation tools.
• Excellent communication, report writing, and analytical skills.
• Detail-oriented and highly organized approach.

Salary: ₹25,000 – ₹50,000 per month (Based on experience & certifications)

Joining: Immediate

Job Types: Full-time, Permanent

Pay: ₹20,000.00 - ₹50,000.00 per month

Work Location: In person