Assistant Compliance Officer

• Ensure compliance with applicable laws, rules, and regulations, including IFSCA, SEBI, Companies Act and other regulatory guidelines.
  

• Prepare and maintain regulatory filings, reports, certifications, and statutory documentation.
  

• Monitor regulatory circulars and updates, and implement required compliance changes.
  

• Maintain compliance manuals, SOPs, checklists, and documentation processes.
  

• Support internal audits, reviews, and compliance testing.
  

• Assist in investor onboarding, KYC/AML verification, and record maintenance.
  

• Liaise with regulators, auditors, legal advisors, and external bodies.
  

• Conduct periodic compliance reviews, gap analysis, and risk assessments.
  

• Support operational teams in maintaining compliance with policies and standards.
  

• Provide compliance advisory and guidance to internal departments.
  

• Investigate compliance issues and recommend corrective actions
  

Requirements

• Bachelor’s or Master’s degree in Law, Finance, Commerce, or a related field.
  

• 5–10 years of experience in compliance, audit, regulatory, or legal roles.
  

• Experience in financial services, investment, NBFC, PMS/AIF, or IFSC entities is preferred.
  

• Certifications in AML/KYC, compliance, or governance are an added advantage.