Compliance Officer (from Investment Banking Industry)

About The OpportunityA fast-growing fintech and regulatory advisory firm serving global investment banks and asset managers, we specialize in navigating complex financial compliance landscapes across India and APAC. Our team partners with tier-1 financial institutions to design, implement, and audit controls that meet SEBI, RBI, FEMA, and global standards like AML/CFT, MiFID II, and Dodd-Frank. We operate at the intersection of regulation, technology, and finance—helping clients stay ahead of evolving compliance mandates while scaling securely. Role & ResponsibilitiesMonitor and enforce adherence to SEBI, RBI, FEMA, and internal policies across trading, client onboarding, and AML workflows.Conduct periodic risk assessments, control testing, and gap analyses to identify exposure and recommend corrective actions.Prepare regulatory filings, audit reports, and response packs for internal/external auditors and regulators.Collaborate with Legal, Risk, and Front Office teams to embed compliance guardrails into new product launches and process changes.Deliver compliance training sessions and awareness campaigns for employee populations across functions.Track regulatory updates across India and APAC, translating them into actionable policy changes and control enhancements.Skills & QualificationsMust-Have:SEBI RegulationsRBI DirectivesAML/CFT ComplianceFEMA GuidelinesRegulatory ReportingInternal Audit ProceduresCompliance Risk AssessmentMS Excel (Advanced)Preferred:Knowledge of MiFID II or Dodd-FrankExperience with GRC tools (e.g., MetricStream, NAVEX)CA/CS/ICWA certificationBenefits & Culture HighlightsWork directly with global investment banks and regulators—build influence at the highest levels of finance.Fast-paced, meritocratic culture where proactive problem-solvers drive real regulatory impact.Flexible work hours, remote collaboration options, and continuous learning through industry certifications.Skills: compliance,risk,aml,adherence,global investment,apac,dodd-frank,finance,investment,rbi