Deadline
Open Deadline
Location
Mumbai, Maharashtra, India.
Salary
Compensation details will be finalized during the interview process with the selected candidate.
Details of the Organization
PersonalFN is dedicated to delivering well-researched, unbiased, and expert financial advice. Their team comprises highly qualified and experienced research analysts who closely monitor a wide range of personal finance instruments, including mutual funds, fixed income products, gold, and insurance.
Details of the Job/Internship
PersonalFN - Mutual Fund Research & Financial Planning is hiring for the position of Compliance Officer with 3-4 years of experience to join their office in Mumbai.
Role and Responsibilities
- Ensure organization-wide compliance with applicable laws, regulations, and internal policies.
- Stay informed on SEBI Investment Adviser Regulations (2013), SEBI Research Analyst Regulations (2014), MCA/ROC compliance, and other relevant legal frameworks.
- Work closely with senior management to identify and manage internal and external compliance risks.
- Develop, implement, and maintain effective compliance systems, policies, and procedures.
- Prepare and present regular compliance reports to senior leadership.
- Take corrective action on instances of non-compliance and implement resolution plans.
- Conduct routine audits and assessments to evaluate compliance status.
- Organize and facilitate Board and Shareholders’ Meetings, including drafting notices, resolutions, and minutes.
- Drive awareness and understanding of compliance requirements among employees.
Eligibility
- Qualified Company Secretary (CS).
- 3–4 years of relevant experience in compliance or legal functions.
- LLB or LLM in Corporate Law is preferred but not mandatory.
Salary/Stipend
Compensation details will be finalized during the interview process with the selected candidate.
Type of Opportunity
Fulltime
Country
India
State
Maharashtra
City
Mumbai
Address
Mumbai, Maharashtra, India.
Application and Registration Details
Once you apply, the next steps in the application process will be sent to you via e-mail.
Discover the best legal roles daily! Click here to join our exclusive WhatsApp channel: https://whatsapp.com/channel/0029VaVAeN7J3jusbby2Ph33
Contact: [email protected]
We are solely providing this information for dissemination and wish to clarify that we are not affiliated with the organization.
Would you like to apply immediately?
Once you apply, the next steps in the application process will be sent to you via e-mail.
