Compliance Specialist

Those who have experience in stock broking operations will only be considered

Overview

This role is pivotal in ensuring that the organization's operations adhere to all relevant regulatory and internal compliance standards, supporting the mission to provide transparent financial services. The position involves overseeing compliance frameworks, mitigating risks, and fostering a culture of accountability within the operations department.

Responsibilities

• Develop, implement, and monitor compliance policies and procedures aligned with regulatory requirements and company standards.
• Conduct regular audits and risk assessments to identify and address potential compliance issues within operations.
• Collaborate with leadership to ensure compliance awareness and training across teams, reporting findings and recommendations to the CEO.

Requirements

• Strong knowledge of regulatory frameworks applicable to financial services and investment operations in India.
• Experience in compliance monitoring, risk management, and internal controls within a financial or investment environment.
• Excellent analytical, communication, and organizational skills to manage compliance documentation and reporting effectively.

Nice-to-Haves

• Familiarity with compliance software tools and audit management systems.
• Certification in compliance or risk management (e.g., CAMS, CRCM) is advantageous.
• Prior experience working in a startup or fast-paced financial services company.