Compliance Officer - Sebi
Posted 397 days ago, which is unusual. The employer's own board was still carrying it when we last read it, 3 hours ago.
This is the employer's own posting, not a copy on a job board.
What we know
Is it still open?
Confirmed still open
Last checked 2d ago — checked against the employer's own applicant tracking system, which is the company answering directly.
We re-read the employer's own applicant tracking system and the posting was still there. That is the company answering directly.
How old is it?
Posted 397d ago
The date the source published, not the day we noticed it (2025-08-14). Last seen at its source 3h ago.
Is it remote?
Marked remote on the employer's board
Their board carries a remote setting on this posting — a field they filled in, not wording we read. The location field names somewhere specific, which is usually where the team or the entity sits.
Who may apply?
India
The description states no restriction of its own. This is the source's own tag.
Skills named in the ad
Recognised terms only, from a fixed vocabulary — this is what CV matching compares against.
Carried by 1 source
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workable employer's own board first seen 10d ago · last seen 3h ago
The listing
This role is for one of Weekday’s clients
Salary range: Rs 1500000 - Rs 2000000 (ie INR 15-20 LPA)
Min Experience: 5 years
JobType: full-time
Requirements
We are seeking a Company Secretary (5-10 years of experience) as our Compliance officer for SEBI registered entities who is looking forward to an extremely intense and challenging role in our hedge fund-styled investing platform. An ideal candidate would be someone who has held position in a similar profile in the asset management / financial services space. Candidates with specific experience in the AIF/PMS/Mutual Fund space will be highly preferred.
Roles & responsibilities:
a. Lead the entire compliance function end-to-end for all SEBI registered licenses
i. Establish and implement all the compliance policies that are applicable to all SEBI registered and regulated investment licences – AIF, PMS, RIA. Regularly review and upgrade the policies as required by regulation.
ii. Build and implement processes and systems to ensure smooth functioning w.r.t compliance function
iii. Review and ensure timely and accurate submissions of various regulatory filings are on time and accurate.
iv. Facilitate establishing an audit and compliance testing program.
b. Stakeholder management
i. Monitor regulatory changes, assess impact on business, provide comments on consultative papers and act as a Nodal point of contact between the Company and SEBI and to be a participant to the consultations or other regular discussions.
ii. Ensuring the timely response/ interactions thereof to the SEBI onsite and offsite inspections and be the central coordinator for any regulatory exercises.
iii. Lead and facilitate interactions with the Board, Audit Committee, and other committees. Apprise all with the status of compliance with respect to the regulatory requirements and assist them to make an informed judgment on whether the SEBI registered entity/funds are managing its compliance risk effectively.
iv. Work in a team of 5-6 members and lead 1-2 staff
c. Value addition
i. Get deeply involved with the Product team in creation of financial strategies/products right at the inception and provide understanding of applicable regulations
ii. Lead the exercise for prospective licenses like Mutual Fund etc
iii. Interpret regulations and seek clarifications from Regulator and from the market, as required.
iv. Assess changing regulations and proactively highlight potential risk areas and implement solutions accordingly.
d. Recommend and institutionalize best governance policies and practices.
DNA:
a. We expect you to have higher energy, higher intellectual capability and a desire to handle bigger responsibilities than an average professional of your age/experience will generally do.
b. We expect you to take a lot of initiative to do on-the-job learning about different financial instruments and products.
c. We expect you to create a positive environment for your team and help your team members grow professionally as well.