The Compliance Officer develops and oversees compliance frameworks, policies, controls, risk assessments, regulatory reporting, and audit readiness for a financial services organization. The role monitors regulatory changes, investigates potential breaches, delivers employee training, maintains compliance systems, supports examinations and audits, and advises cross-functional teams on regulatory risks. Strong expertise in AML/CFT, KYC, sanctions, MiFID II, Dodd-Frank, SOX, GDPR, and financial services regulations is required, along with occasional travel.
Summary:
As a Compliance Officer, you will play a pivotal role in safeguarding the integrity and reputation of our financial services organization by ensuring strict adherence to global and local regulatory standards. Reporting to the Head of Compliance or Compliance Manager, you will be instrumental in shaping and reinforcing a proactive compliance culture across all business units. With 8 years of progressive experience in financial services compliance, you will lead the development and execution of robust compliance frameworks, drive audit readiness, and serve as a trusted advisor on regulatory matters. Your expertise in key regulatory regimes—including AML/CFT, KYC, MiFID II, GDPR, and local financial regulations—will directly contribute to minimising legal, financial, and reputational risks. This role is central to our commitment to governance excellence, operational resilience, and sustainable growth.
Responsibilities:
- Monitor and interpret evolving regulatory developments from global and local authorities (e.g., SEC, FINRA, FCA, CFTC, local central banks).
- Conduct regular compliance risk assessments and maintain a dynamic risk register across business lines.
- Design, implement, and oversee internal compliance policies, procedures, and controls aligned with regulatory expectations.
- Lead the preparation and timely submission of regulatory reports and filings with accuracy and precision.
- Collaborate with legal, audit, and internal control teams to ensure cohesive compliance strategies and alignment.
- Deliver targeted compliance training and awareness initiatives to employees at all levels.
- Investigate and escalate potential compliance breaches or red flags, ensuring thorough documentation and effective remediation.
- Provide comprehensive support during internal and external audits, including evidence submission, response drafting, and corrective action planning.
- Maintain and enhance compliance monitoring systems and automated tools to improve efficiency and data accuracy.
- Act as the primary internal liaison during regulatory examinations or inquiries, ensuring clear and timely communication.
Requirements
Requirements:
- Bachelor’s degree in Finance, Law, Business Administration, or a related field; CFA, CPCU, or other relevant certifications are highly desirable.
- Minimum of 8 years of progressive experience in compliance within the financial services sector, including investment banking, asset management, or wealth management.
- Expertise in major regulatory frameworks such as AML/CFT, KYC, Sanctions Screening, MiFID II, Dodd-Frank, SOX, and GDPR.
- Proven track record in building compliance frameworks, risk assessment methodologies, and internal control systems.
- Strong analytical, problem-solving, and attention-to-detail skills with the ability to manage multiple priorities under pressure.
- Exceptional written and verbal communication abilities, including drafting policies, reports, and regulatory submissions.
- Proficiency in compliance management systems (CMS), MS Office Suite, and data analysis tools.
- Demonstrated ability to work independently and collaboratively across cross-functional teams.
- Willingness to travel occasionally for audits, meetings, or training sessions.
- Experience in a regulated environment with exposure to regulatory examinations and enforcement actions.
Gretex Corporate Services Limited Mumbai, Maharashtra, IND Office
Mumbai, India
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