Compliance Officer

We're Hiring! – Compliance Officer (RTA Services)

Location : Mumbai |

Full-Time | 5 Days | Work from Office (WFO)

Are you a compliance professional with strong knowledge of SEBI regulations (AIF / PMS) and experience in RTA operations? Join a dynamic team where your expertise in financial compliance and regulatory frameworks will make a direct impact.

Key Responsibilities :

Ensure compliance with SEBI, Companies Act, and other regulations for RTA functions.

Draft and update internal compliance policies for services like share transfers, dividend disbursements, and record-keeping.

Handle KYC / AML compliance and data privacy requirements.

Conduct internal audits and assist with SEBI inspections.

Address investor grievances in line with regulatory norms.

Act as liaison with regulatory authorities for inspections and inquiries.

Support client compliance with SEBI AIF / PMS requirements.

Assist with internal restructuring and regulatory projects.

What We’re Looking For :

Experience :

3–5 years in RTA services or financial compliance roles

Education :

Bachelor’s degree in law, Finance, Commerce (Mandatory)

Skills :

Strong grasp of SEBI norms, KYC / AML regulations

Excellent communication (verbal & written)

Attention to detail, integrity, stakeholder management

Familiarity with compliance / audit tools

If you’re passionate about regulatory compliance and want to work in a fast-paced, growth-oriented environment – we’d love to connect.

Apply now by sending your resume to - nidhi@thepremierconsultants.com

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