Key Responsibilities

• Regulatory Compliance: Ensure strict adherence to IFSCA regulations, SEBI guidelines, and other applicable laws. Stay current with regulatory changes and implement necessary adjustments to policies and procedures.

• Policy Development & Implementation: Develop, maintain, and update internal compliance policies and procedures. Ensure these are effectively communicated and understood by all relevant stakeholders.

• Risk Assessment & Monitoring: Conduct regular risk assessments to identify potential compliance issues. Implement monitoring systems to ensure ongoing compliance and promptly address any gaps or issues.

• Training & Awareness: Lead training sessions for employees on compliance requirements and best practices. Ensure all staff are aware of and adhere to compliance policies.

• Internal Audits: Conduct internal audits to evaluate compliance with regulatory requirements. Identify and address any compliance gaps or issues.

• Reporting: Prepare and present regular reports to senior management and regulatory authorities on compliance status and any issues identified.



Serve as the primary point of contact for regulatory inquiries and submissions.

• Data Management: Maintain accurate and up-to-date records of compliance activities, audits, and regulatory communications. Ensure data integrity and confidentiality.

Qualifications:

• Education & Certification: Qualified Company Secretary from ICSI (Institute of Company Secretaries of India). Additional qualifications such as CAMS, ACCA, or a relevant law degree are highly desirable.

• Experience: Minimum of 5 years of experience in compliance, risk management, or a related field, preferably in the financial services industry. Experience with IFSCA regulations or similar regulatory frameworks is highly desirable.

Skills:

o Strong understanding of financial regulations and compliance requirements.

o Excellent analytical and problem-solving skills.

o Solid attention to detail and ability to manage multiple tasks simultaneously.

o Excellent communication and interpersonal skills.

o Proficiency in MS Office and compliance management software

📌 Compliance Officer - MNC Broking House (India)
🏢 RiverForest Connections Private
📍 India