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29 Sep 2022


Compliance Officer


3-4 Years

SEBI, Statutory Audit, Legal Compliances, CS compliance Officer, Compliance

Job Description

Position: Compliance Officer
Qualification: CS, LLB
Experience: 2 to 4 years
Location: Mumbai

Job description
  • Develop and implement an effective legal compliance program. 
  • Manager Internal / External and Statutory Audits 
  • Create sound internal controls and monitor adherence to them 
  • Draft and revise company policies 
  • Proactively audit processes, practices and documents to identify weaknesses 
  • Evaluate business activities (e.g. investments) to assess compliance risk 
  • Collaborate with external auditors and HR when needed 
  • Set plans to manage a crisis or compliance violation 
  • Educate and train employees on regulations and industry practices 
  • Address employee concerns or questions on legal compliance 
  • Keep abreast of internal standards and business goals.
Skill Required 
  • Proven experience as a Compliance Officer or Compliance Manager 
  • Knowledge of MF Compliance requirements and controls (e.g. Anti-Money Laundering, or AML) 
  • Familiarity with industry practices and professional standards 
  • Excellent communication skills 
  • Integrity and professional ethics 
  • Business acumen 
  • Teamwork skills 
  • Attention to detail

29 September 2022


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