Compliance Officer

This role is for one of Weekday’s clients

Min Experience : 4 years

Location : Mumbai

JobType : full-time

Requirements

We are seeking a dedicated and detail-oriented Compliance Officer with at least 4+ years of experience in the financial services industry, with a strong focus on Regulatory Investment Advisory (RIA), Non-Discretionary (ND) portfolio management, Distribution, and Investment Advisory compliance functions . The role involves ensuring that all business operations, advisory services, and client interactions are conducted in full compliance with applicable laws, rules, and regulations, while safeguarding the organization’s reputation and mitigating risk.

This position requires a professional with a deep understanding of compliance frameworks, SEBI / AMFI regulations, and investment advisory guidelines, combined with the ability to guide internal teams and provide actionable insights to ensure adherence across all functions.

Key Responsibilities

• Regulatory Compliance & Oversight
• Oversee compliance for RIA, Distribution, and Non-Discretionary (ND) investment advisory services .
• Ensure all regulatory submissions, filings, and disclosures are completed accurately and within prescribed timelines.
• Review and update compliance manuals, policies, and internal frameworks to align with evolving regulations.
• Monitor business activities to ensure compliance with SEBI, AMFI, and other relevant regulatory authorities.
• Advisory & Transaction Monitoring
• Ensure all advisory, distribution, and ND transactions comply with regulatory standards and internal policies.
• Conduct periodic checks on investment recommendations, execution processes, and reporting structures.
• Provide compliance guidance on the structuring and distribution of financial products.
• Audit, Inspection & Reporting
• Coordinate and manage internal and external audits , ensuring timely closure of observations.
• Maintain complete documentation and audit trails of compliance activities for regulatory inspections.
• Prepare periodic compliance reports for senior management and regulators.
• Training & Policy Implementation
• Conduct compliance training sessions for teams, ensuring awareness of regulatory changes, insider trading rules, AML requirements, and investment advisory standards.
• Ensure all employees adhere to compliance standards and report breaches or potential risks promptly.
• Stakeholder & Regulator Liaison
• Serve as the key point of contact with regulators, auditors, and legal advisors .
• Address regulatory queries and support the firm’s response to inspections and compliance reviews.
• Collaborate with internal teams including sales, advisory, product, operations, and legal to ensure compliance alignment.
• Risk Management
• Identify potential compliance risks related to investment advisory, ND transactions, and distribution activities.
• Implement preventive measures to reduce regulatory, operational, and reputational risks.
• Escalate non-compliance issues to management with recommended corrective actions.

Skills & Qualifications