Assistant Compliance Officer

Ensure compliance with applicable laws, rules, and regulations, including IFSCA, SEBI, Companies Act and other regulatory guidelines. Prepare and maintain regulatory filings, reports, certifications, and statutory documentation. Monitor regulatory circulars and updates, and implement required compliance changes. Maintain compliance manuals, SOPs, checklists, and documentation processes. Support internal audits, reviews, and compliance testing. Assist in investor onboarding, KYC/AML verification, and record maintenance. Liaise with regulators, auditors, legal advisors, and external bodies. Conduct periodic compliance reviews, gap analysis, and risk assessments. Support operational teams in maintaining compliance with policies and standards. Provide compliance advisory and guidance to internal departments. Investigate compliance issues and recommend corrective actions

Requirements

Bachelor’s or Master’s degree in Law, Finance, Commerce, or a related field. 5–10 years of

experience

in compliance, audit, regulatory, or legal roles.

Experience

in financial services, investment, NBFC, PMS/AIF, or IFSC entities is preferred. Certifications in AML/KYC, compliance, or governance are an added advantage.

compliance changes. Maintain compliance manuals, SOPs, checklists, and documentation processes. Support internal audits, reviews, and compliance testing. Assist in investor onboarding, KYC/AML verification, and record maintenance. Liaise with regulators, auditors, legal advisors, and external bodies. Conduct periodic compliance reviews, gap analysis, and risk assessments. Support operational teams in maintaining compliance with policies and standards. Provide compliance advisory and guidance to internal departments. Investigate compliance issues and recommend corrective actions

Requirements

Bachelor’s or Master’s degree in Law, Finance, Commerce, or a related field. 5–10 years of

experience

in compliance, audit, regulatory, or legal roles.

Experience

in financial services, investment, NBFC, PMS/AIF, or IFSC entities is preferred. Certifications in AML/KYC, compliance, or governance are an added advantage.