Job
Description
Role Description This is a full-time, on-site role for a Principal Officer & Compliance Officer at Option360, located in Noida. The Principal Officer & Compliance Officer will be responsible for overseeing compliance management, ensuring regulatory compliance, and conducting financial analyses. Daily tasks include developing and implementing compliance programs, monitoring and reporting on compliance activities, and maintaining up-to-date knowledge of relevant regulations. Effective communication with internal and external stakeholders is also a key part of this role. Educational Qualifications (a) Principal Officer & Compliance Officer must have: A post-graduate degree/diploma (1+ year) in finance, law, accountancy, business management, commerce, economics, capital markets, banking, insurance, or actuarial science from a recognized institution; OR Professional qualifications like CA, CS, CMA, CFA, FRM, or equivalent foreign certifications. Exceptions : Graduation + 10 years of financial services experience is acceptable. For Compliance Officer only: A Bachelor of Law (LLB) suffices. For Distributors/Investment Advisers/Research Entities: Graduation + Certified Financial Planner (CFP) is sufficient. Experience Requirements Principal Officer: Minimum 3 years in financial services (1 year in ESG for ERDPP). Compliance Officer: Minimum 2 years in financial services (or 2 years in compliance roles in any sector). Compliance Deadline Existing CMIs must ensure their officers meet these requirements by October 1, 2025, or as extended by the Authority. Requirements Proficiency in Compliance Management and Regulatory Compliance Strong Analytical Skills Excellent Communication skills Finance-related expertise Bachelor's degree in Finance, Law, Business Administration, or a related field Proven experience in a compliance role within the financial sector Strong organizational skills and attention to detail Please Note: Job Location is Gift City, Gandhi Nagar, Gujarat so nearby candidate is highly preferred.
