Compliance Officer

We’re Hiring: Compliance Officer – RTA Services for one of the leading Financial Services Management Firm

Location: Mumbai | Type: Full-Time | Working: 5 Days, WFO

We are looking for an experienced Compliance Officer to support our Registrar & Transfer Agent (RTA) operations. The ideal candidate will ensure adherence to SEBI regulations, manage compliance risks, conduct internal audits, and act as a key point of contact for regulatory authorities.

🔎 Key Responsibilities

👉Monitor and interpret SEBI guidelines, Companies Act provisions, and regulatory updates.

👉Develop and maintain compliance policies, procedures, and internal controls.

👉Identify and mitigate risks related to KYC, AML, data privacy, and fraud.

👉Conduct periodic internal audits and recommend corrective actions.

👉Deliver compliance training and promote a culture of ethics and regulatory awareness.

👉Oversee investor grievance redressal in line with SEBI norms.

👉Ensure strong KYC processes and secure handling of investor data.

👉Prepare accurate regulatory reports and maintain audit-ready documentation.

👉Coordinate with SEBI and regulatory bodies during inspections and inquiries.

🎓 Qualifications & Experience

📚Bachelor’s degree in Law, Finance, Commerce, or related field (mandatory).

📑Certifications in Compliance / AML (preferred).

3–5 years of experience in RTA operations or financial compliance.

🧠Strong understanding of SEBI regulations, RTA functions, KYC & AML norms.

✔Excellent analytical, communication, and stakeholder management skills.

📩 Interested candidates can share their resumes at nidhi@thepremierconsultants.com

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