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Compliance Officer

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