Compliance Officer

Job Title : Compliance Officer

Location : Noida

Employment Type : Full-Time

Job Purpose :

To ensure organizational compliance with all applicable statutory, regulatory, and

internal governance requirements, including oversight of internal processes, vendor

risk, regulatory filings, and compliance training initiatives.

Key Responsibilities :

1. Compliance Audit and Reporting

Conduct comprehensive reviews and maintain documentation to ensure

adherence to applicable regulatory requirements and internal compliance

standards.

2. Corporate Governance Review

Evaluate the organization’s governance structure to ensure it aligns with

regulatory expectations and industry best practices in coordination with the

Compliance Officer.

3. Internal Controls and Process Audits

Review and assess existing business processes to identify control gaps and

ensure implementation of robust internal controls.

4. POSP Compliance Review

Audit and validate onboarding, training, and operational processes of Point of

Sales Persons (POSPs) as per relevant compliance guidelines.

5. Business Continuity and Disaster Recovery Review

Ensure that effective Business Continuity Planning (BCP) and Disaster Recovery

(DR) frameworks are established and tested regularly under the Compliance

Officer's supervision.

6. Training and Awareness Programs

Design and conduct regular workshops and training on key compliance areas

including AML / KYC norms, cybersecurity protocols, and operational risk

mitigation.

7. Documentation Support for Regulatory Filings

Assist in the timely and accurate preparation of required documentation for

filings such as shareholding changes, periodic returns, and other statutory submissions.

8. Gap Analysis and Risk-Based Recommendations

Conduct gap analyses to identify areas of non-compliance and provide tailored,

risk-based recommendations to meet compliance expectations.

9. Third-Party Vendor Due Diligence

Conduct compliance and risk assessments of third-party vendors and ensure

necessary controls are extended to all external partnerships.

Preferred Qualifications :

Company Secretary (CS) – Preferred

Candidates with the following backgrounds may also be considered :

LLB / LLM (Corporate Law / Compliance Specialization)

Chartered Accountant (CA)

MBA (Finance / Risk / Compliance)

Graduate / Postgraduate in Commerce, Finance, or Business Law with relevant experience in compliance or risk management

Preferred Skills & Experience :

• 4–8 years of relevant experience in regulatory compliance, audits, or governance

roles (preferably in insurance, financial services, or related sectors)