Details of the Organization

FINCART helps people PLAN (their finances), INVEST (online transaction) & PROSPER (online tracking & secret sauce to manage through various market cycles).

Details of the Job/Internship

Fincart Financial Planners is hiring for the position of Compliance Officer with 4-10 years of experience to join their office in Noida. 

Role and Responsibilities

Compliance & Audit

• Conduct compliance audits and reviews to ensure alignment with regulatory frameworks and internal policies.
• Maintain thorough compliance documentation and reporting.

Corporate Governance

• Assess and enhance governance structures to align with industry best practices and regulatory expectations.

Internal Controls

• Review organizational processes, identify control gaps, and support implementation of robust internal controls.

POSP Oversight

• Audit onboarding, training, and operations of Point of Sales Persons (POSPs) in line with applicable guidelines.

Business Continuity & Risk

• Support implementation and testing of Business Continuity Planning (BCP) and Disaster Recovery (DR) frameworks.

Training & Awareness

• Develop and deliver compliance training on AML/KYC, cybersecurity, and operational risk.

Regulatory Filings

• Prepare and submit accurate statutory filings, including shareholding changes, periodic returns, and related documentation.

Gap Analysis & Risk Mitigation

• Conduct compliance gap assessments and provide risk-based recommendations.

Vendor Due Diligence

• Perform compliance and risk reviews of third-party vendors to ensure adequate safeguards are in place.

Eligibility

• Company Secretary (CS) – Preferred.
• Candidates with one of the following will also be considered:
• LL.B. / LL.M. (Corporate Law / Compliance).
• Chartered Accountant (CA).
• MBA (Finance / Risk / Compliance).
• Graduate/Postgraduate in Commerce, Finance, or Business Law with relevant compliance experience.

Salary/Stipend

Compensation details will be finalized during the interview process with the selected candidate.

Type of Opportunity

Fulltime

Country

India

Address

Noida, Uttar Pradesh, India

Application and Registration Details

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