Compliance Officer-Contract

Urgent hiring Compliance Officer (Contractual)

Location: Mumbai

Contract Duration: 1 Year

Compensation: Open / Negotiable Based on Experience

Joining: Immediate

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About the Role

We are urgently looking for an experienced Compliance Officer to support the compliance requirements of the SI Pro App. The incumbent will be responsible for ensuring that business operations, processes, and customer-facing activities comply with applicable regulatory requirements, particularly SEBI regulations, while supporting the organization's overall compliance framework.

Key Responsibilities Ensure compliance with applicable SEBI regulations, circulars, guidelines, and other relevant regulatory requirements. Review business activities, operational processes, and customer journeys from a compliance perspective. Assess marketing communications, product-related content, and promotional materials for regulatory compliance. Identify compliance risks and recommend corrective and preventive actions. Maintain and update compliance policies, procedures, checklists, and documentation. Collaborate with Product, Technology, Operations, Marketing, and Legal teams on compliance matters. Monitor regulatory updates and evaluate their impact on business operations. Support regulatory reporting, audits, inspections, and compliance reviews. Assist in strengthening internal controls and compliance monitoring mechanisms.

Educational Qualifications Bachelor's degree in Law, Finance, Commerce, Business Administration, Economics, or a related discipline. Additional qualifications such as LLB, CS, CA, or MBA (Finance) will be an advantage. Mandatory Certification NISM Series III-A - Securities Intermediaries Compliance (Non-Fund) Certification

Experience Required 3 to 5+ years of experience in Compliance, Regulatory Affairs, or Risk & Compliance functions. Experience within Stock Broking, Capital Markets, Investment Advisory, Wealth Management, FinTech, WealthTech, or other regulated financial services organizations. Hands-on exposure to SEBI regulations, regulatory reporting, compliance monitoring, audits, inspections, and risk management frameworks. Strong understanding of regulatory and operational compliance requirements. Preferred Candidate Profile Strong analytical and problem-solving skills. Excellent communication and stakeholder management abilities. Ability to work independently and manage multiple compliance requirements in a dynamic environment. Immediate joiners or candidates with a short notice period will be preferred.