Details of the Organization

At Sapient Wealth, we are committed to ensuring robust governance and regulatory excellence in all our financial operations. As part of our expansion into the International Financial Services Centre (IFSC) at GIFT City, we are looking to onboard a skilled Compliance Officer to uphold the highest standards of regulatory compliance across all touchpoints.

Details of the Job/Internship

Sapient Wealth Advisors & Brokers Pvt Ltd is hiring for the position of Compliance Officer with 3+ years of experience to join their office in Mumbai.

Role and Responsibilities

1. Regulatory Compliance

• Ensure comprehensive compliance with IFSCA, SEBI, RBI, FEMA, and PMLA regulations.
• Track and implement regulatory updates and circulars in a timely manner.
• Maintain strong awareness of IFSC regulatory frameworks and cross-border investment guidelines.

2. Internal Controls & Risk Management

• Draft, implement, and review internal compliance policies and risk management frameworks.
• Conduct regular compliance audits and risk assessments to mitigate legal and operational risks.

3. AML / KYC / FATCA Oversight

• Oversee Anti-Money Laundering (AML), Combating Financing of Terrorism (CFT), KYC, and FATCA compliance.
• Ensure robust due diligence practices across the investor lifecycle and transaction processes.

4. Regulatory Reporting

• Prepare and submit accurate, timely reports to IFSCA, SEBI, RBI, and other relevant authorities.
• Manage responses to regulatory audits, inspections, and inquiries.
• Assist senior management with board presentations, investor disclosures, and compliance metrics.

5. Communication & Training

• Serve as the primary liaison with regulatory bodies.
• Lead internal training sessions on compliance practices, policy changes, and regulatory requirements.
• Review marketing content, legal agreements, and internal documents for regulatory conformity.

Eligibility

• Graduate/Postgraduate in Law, Finance, or Commerce.
• Additional certifications such as LLB, CS, CFA, or NISM.

Salary/Stipend

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

Type of Opportunity

Fulltime

Country

India

Address

Mumbai, Maharashtra, India.

Application and Registration Details

After you submit your application, you will receive the next steps in the process via email. Please follow the instructions provided to complete your application.

Incase you find any issue with the application process, please contact: [email protected] 

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We are solely providing this information for dissemination and wish to clarify that we are not affiliated with the organization.