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Compliance Officer
Fincart Financial PlannersNoida, Uttar Pradesh, India30+ days ago
Job descriptionEvaluate the organization’s governance framework to ensure alignment with regulatory expectations and industry best practices. Review and assess internal processes to identify control gaps and support the implementation of robust internal controls. Audit onboarding, training, and operations of Point of Sales Persons (POSPs) in accordance with applicable compliance guidelines. Support the implementation and testing of Business Continuity Planning (BCP) and Disaster Recovery (DR) frameworks. Develop and conduct regular training sessions on AML / KYC norms, cybersecurity, and operational risk management. Assist in preparing and submitting timely, accurate documentation for statutory filings such as shareholding changes, periodic returns, etc. Conduct gap analyses to identify areas of non-compliance and provide tailored, risk-based recommendations. Perform compliance and risk assessments on third-party vendors to ensure appropriate controls are in place. Company Secretary (CS) – Preferred Candidates with the following backgrounds will also be considered : LLB / LLM (Corporate Law / Compliance) Chartered Accountant (CA) MBA (Finance / Risk / Compliance) Graduate / Postgraduate in Commerce, Finance, or Business Law with relevant compliance or risk management experience 4–10 years of experience in regulatory compliance, audits, or governance (preferably in insurance, financial services, or related sectors) Strong understanding of regulatory frameworks (IRDAI, SEBI, RBI, etc.) Excellent knowledge of corporate governance and internal control systems Strong documentation, communication, and presentation abilities Ability to collaborate across functions and manage multiple priorities effectively
Job Title : Compliance Officer
Location : Noida
Employment Type : Full-Time
Job Purpose :
To ensure the organization complies with all applicable statutory, regulatory, and internal governance requirements. This includes overseeing internal processes, vendor risk, regulatory filings, and compliance training initiatives.
Key Responsibilities :
Compliance Audit and Reporting
- Conduct comprehensive reviews and maintain documentation to ensure adherence to regulatory requirements and internal standards.
Corporate Governance Review
Internal Controls and Process Audits
POSP Compliance Review
Business Continuity and Disaster Recovery Review
Training and Awareness Programs
Documentation for Regulatory Filings
Gap Analysis and Risk-Based Recommendations
Third-Party Vendor Due Diligence
Preferred Qualifications :
Preferred Skills & Experience :
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Compliance Officer • Noida, Uttar Pradesh, India
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