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, 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.

• 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.