Job Description

The Compliance Officer will ensure adherence to regulatory requirements and internal policies within the financial services and trading industry. This role involves monitoring, reporting, and implementing compliance measures to uphold the legal standards of the organisation.

• Monitor and ensure compliance with applicable laws, regulations, and internal policies.
• Develop and implement compliance frameworks and controls.
• Conduct periodic reviews and audits to assess compliance adherence.
• Prepare and submit regulatory reports to relevant authorities.
• Provide guidance and training to staff on compliance matters.
• Investigate and resolve compliance-related issues as they arise.
• Maintain updated records of compliance activities and documentation.
• Collaborate with legal and operational teams to address compliance risks.

Only candidates with 25+ years of experience to apply. (Age 55 maximum)Only candidates from Banks/NBFC and open to PSUs to apply
A successful Compliance Officer should have:

• A CS degree, a LLB is an added benefit
• Strong knowledge of regulatory requirements in the financial services and trading industries.
• Experience in creating and implementing compliance frameworks.
• Attention to detail and excellent analytical skills.
• Proficiency in using compliance and reporting tools.
• Effective communication and interpersonal skills.

The hiring organisation is a medium-sized entity operating within the financial services and trading sector. It is recognised for its structured approach to legal and compliance management, offering a professional environment for growth and development.
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• Comprehensive benefits, including health insurance and retirement plans.
• Generous leave policy to support work-life balance.
• Opportunities for professional development and career growth.
• A collaborative and structured work environment in Mumbai Suburban.

If you are ready to take on the challenge of ensuring compliance excellence, apply now to join a respected organisation in the financial services industry.

Skills Required