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Compliance Officer

Fincart Financial PlannersNoida, Uttar Pradesh, India

30+ days ago

Job description

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

Evaluate the organization’s governance framework to ensure alignment with regulatory expectations and industry best practices.

Internal Controls and Process Audits

Review and assess internal processes to identify control gaps and support the implementation of robust internal controls.

POSP Compliance Review

Audit onboarding, training, and operations of Point of Sales Persons (POSPs) in accordance with applicable compliance guidelines.

Business Continuity and Disaster Recovery Review

Support the implementation and testing of Business Continuity Planning (BCP) and Disaster Recovery (DR) frameworks.

Training and Awareness Programs

Develop and conduct regular training sessions on AML / KYC norms, cybersecurity, and operational risk management.

Documentation for Regulatory Filings

Assist in preparing and submitting timely, accurate documentation for statutory filings such as shareholding changes, periodic returns, etc.

Gap Analysis and Risk-Based Recommendations

Conduct gap analyses to identify areas of non-compliance and provide tailored, risk-based recommendations.

Third-Party Vendor Due Diligence

Perform compliance and risk assessments on third-party vendors to ensure appropriate controls are in place.

Preferred Qualifications :

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

Preferred Skills & 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

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Compliance Officer • Noida, Uttar Pradesh, India

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