Compliance Officer - Sebi

1 hour, 56 minutes ago
Full-time
Senior
Finance and Accounting
Weekday

Weekday

Weekday helps companies hire engineers who are vouched by other software engineers, enabling passive income for engineers. They offer services like drafting outreach messages, shortlisting candidates, and conducting reference checks. Backed by Y Combin...

Construction & Engineering
11-50
Founded 2020

Description

  • Lead the end-to-end compliance function for all SEBI-registered licenses.
  • Establish, implement, review, and upgrade compliance policies for AIF, PMS, and RIA entities.
  • Build and maintain processes and systems that support smooth compliance operations.
  • Review and ensure timely, accurate regulatory filings and submissions.
  • Set up and facilitate an audit and compliance testing program.
  • Monitor regulatory changes, assess business impact, and draft responses to consultative papers.
  • Act as the primary point of contact between the company and SEBI for consultations, discussions, and regulatory matters.
  • Coordinate SEBI onsite and offsite inspections and other regulatory exercises.
  • Work with the Board, Audit Committee, and other committees and report compliance status.
  • Collaborate with the product team on new financial strategies and products to ensure regulatory alignment.
  • Lead efforts for prospective licenses such as Mutual Fund registrations.
  • Interpret regulations, seek clarifications, and proactively identify and address compliance risks.
  • Recommend and institutionalize governance policies and best practices.
  • Lead and support a small team while contributing to a positive team environment.

Requirements

  • Company Secretary qualification with 5-10 years of experience.
  • Prior experience in a similar compliance role within asset management or financial services.
  • Strong preference for candidates with experience in AIF, PMS, or Mutual Fund space.
  • Experience handling compliance for SEBI-registered and regulated investment entities.
  • Ability to manage multiple licenses and regulatory obligations simultaneously.
  • Experience coordinating with regulators, boards, and audit committees.
  • Comfort working in an intense, challenging environment with significant ownership.
  • High initiative and willingness to learn on the job about financial instruments and products.
  • Ability to lead a team and support the professional growth of team members.
  • Salary range of Rs 15-20 LPA and full-time availability.

Interested in this position?

Apply directly on the company website

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