Salary upto 12lpa

Minimum 3 Years in compliance - NISM SERIES 3A

Immediate Joiner

Excellent communication skills

Location: Mumbai,

Role Description This is a full-time, in office role for a Compliance Officer (NISM Series 3A certification required), based in Mumbai.

The Compliance

Officer will oversee adherence to regulatory requirements, especially those relevant to securities markets and financial products. Day-to-day responsibilities include monitoring internal processes, reviewing documentation, and ensuring policies align with current regulations and industry standards. The role involves conducting regular compliance audits, preparing reports for management, and guiding teams on regulatory updates and best practices.

The Compliance

Officer will also collaborate with finance and operations teams to mitigate risk, respond to regulatory inquiries, and support internal training on compliance procedures.

Qualifications
Strong skills in Compliance Management and Regulatory Compliance, with experience implementing and monitoring compliance frameworks.




Solid Finance knowledge to understand financial products, transactions, and regulatory impact on business operations.
Well-developed Analytical Skills for reviewing data, identifying risk areas, and proposing corrective actions.
Effective Communication skills for drafting explicit compliance guidelines, reporting findings, and collaborating with cross-functional teams.
NISM Series 3A certification (mandatory), with additional relevant certifications in compliance or risk management considered an advantage.
Prior experience in a compliance or risk function within financial services, securities, or related industries.
Ability to interpret and apply regulatory requirements, maintain organized records, and work accurately under deadlines.
Bachelor’s degree in finance, law, business, or a related field; advanced degrees or qualified qualifications are preferred but not required.

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