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Assistant Compliance Officer
SPEC Finance
Gandhinagar, IND
Full-time
Senior Level
Onsite
Discovered 3 weeks ago
Free
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- 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.
About SPEC Finance
Financial Services25 employeesFounded 2023
Provides corporate lending, trade finance, and investment banking services.
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