Compliance Officer

Role Overview

The Compliance Officer is responsible for ensuring that the organization complies with all applicable regulatory requirements, including those prescribed by SEBI, and adheres strictly to internal company policies and procedures. This role plays a critical part in safeguarding the organization from legal, regulatory, and reputational risks.

Key Responsibilities

• Monitor and ensure compliance with regulatory frameworks, guidelines, and circulars issued by SEBI and other relevant authorities.
• Develop, implement, and update internal compliance policies, SOPs, and control mechanisms.
• Conduct regular compliance audits and risk assessments to identify gaps and corrective actions.
• Act as a liaison between regulatory bodies and internal departments.
• Ensure timely regulatory filings, disclosures, and reporting.
• Provide compliance training and guidance to employees across departments.
• Track regulatory changes and assess their impact on business operations.
• Support internal and external audits and handle regulatory inspections.

Required Qualifications

• Bachelor’s degree in Law, Finance, Business Administration, or a related field
• Proven experience in regulatory compliance (financial services preferred)
• Strong knowledge of SEBI regulations and compliance standards
• High attention to detail and strong ethical judgment
• Excellent documentation and communication skills

Preferred Skills

• Experience in NBFC, fintech, or capital markets
• Familiarity with AML/KYC norms
• Ability to interpret regulatory texts and implement controls effectively