Investment Banking - Compliance Officer

Mumbai

**About the Opportunity** A 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 \& Responsibilities** * Monitor 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 \& Qualifications** * **Must-Have:** * SEBI Regulations * RBI Directives * AML/CFT Compliance * FEMA Guidelines * Regulatory Reporting * Internal Audit Procedures * Compliance Risk Assessment * MS Excel (Advanced) * **Preferred:** * Knowledge of MiFID II or Dodd-Frank * Experience with GRC tools (e.g., MetricStream, NAVEX) * CA/CS/ICWA certification **Benefits \& Culture Highlights** * Work 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.