Compliance Officer

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