About the Opportunity A fast-growing fintech and regulatory advisory firm serving global investment banks and asset managers, we specialize in navigating complex financial compliance landscapes across India and APAC. Our team partners with tier-1 financial institutions to design, implement, and audit controls that meet SEBI, RBI, FEMA, and global standards like AML/CFT, MiFID II, and Dodd-Frank. We operate at the intersection of regulation, technology, and finance—helping clients stay ahead of evolving compliance mandates while scaling securely. Role & Responsibilities

- Monitor and enforce adherence to SEBI, RBI, FEMA, and internal policies across trading, client onboarding, and AML workflows.
- Conduct periodic risk assessments, control testing, and gap analyses to identify exposure and recommend corrective actions.
- Prepare regulatory filings, audit reports, and response packs for internal/external auditors and regulators.
- Collaborate with Legal, Risk, and Front Office teams to embed compliance guardrails into new product launches and process changes.




- Deliver compliance training sessions and awareness campaigns for employee populations across functions.
- Track regulatory updates across India and APAC, translating them into actionable policy changes and control enhancements.

Skills & Qualifications

- Must-Have:
- SEBI Regulations
- RBI Directives
- AML/CFT Compliance
- FEMA Guidelines
- Regulatory Reporting
- Internal Audit Procedures
- Compliance Risk Assessment
- MS Excel (Advanced)

- Preferred:
- Knowledge of MiFID II or Dodd-Frank
- Experience with GRC tools (e.g., MetricStream, NAVEX)
- CA/CS/ICWA certification

Benefits & Culture Highlights

- Work directly with global investment banks and regulators—build influence at the highest levels of finance.
- Quick-paced, meritocratic culture where proactive problem-solvers drive real regulatory impact.
- Flexible work hours, remote collaboration options, and continuous learning through industry certifications.

📌 Compliance Officer (from Investment Banking Industry) (Mumbai)
🏢 Beyond Border Consultants
📍 Mumbai