Compliance Officer - BFS

Job Title: Compliance Manager

Location: Santa Cruz East, Mumbai

Mode of work: On-site

Work shift: Day Shift (9.30 AM to 6.30 PM IST)

We seek a Compliance Manager with expertise in financial compliance, SEBI, Legal regulatory aspects in asset management MFs/AMC/Broking/Equity/ or Banking/Insurance/Fintech for a leading Wealth Management firm, Mumbai. Qualification: BComCS/CACS/LLB.

Required Candidate profile:

Company Secretary with certifications in financial regulations and legal compliance with 5 to 10 years in Equity/MF/AMC/broking/fintech product distribution compliance, expert in SEBI/AMFI regulations

Responsibilities:

- Oversee the organization's compliance with government laws and regulations.

- Coordinate with company management to identify potential risks related to compliance.

- Develop and implement policies and procedures to uphold laws and regulations.

- Ensure internal company policies are created and respected by all employees.

- Establish a clearly defined program for compliance with the country's laws.

- Provide regular reports to management regarding the organization's compliance status.

- Take action to address noncompliance situations and develop realistic plans to overcome them.

- Conduct regular audits to identify potential weaknesses and instances of noncompliance.

- Communicate effectively with employees to ensure awareness of compliance requirements.

- Stay updated on changes in laws and regulations relevant to the organization's operations.

- Collaborate with legal and regulatory affairs teams to ensure alignment with compliance standards.

- Provide training and guidance to employees on compliance-related matters.

- Monitor industry best practices and recommend improvements to compliance processes.

Requirements:

- Proven experience in a compliance role, preferably within a regulated industry.

- In-depth knowledge of government laws and regulations applicable to the organization.

- Strong analytical and problem-solving skills.

- Excellent communication and interpersonal abilities.

- Ability to work independently and collaboratively within a team.

- Attention to detail and strong organizational skills.

- Ability to adapt to changing regulatory environments.

- Integrity and ethical conduct in all aspects of work.

- Proficiency in relevant compliance software and tools.