Compliance Manager

Octanom Tech; Mumbai; Hybrid; INR 2,500,000 - 4,000,000; Full time

Job summary

Octanom Tech Private Limited is seeking an experienced Compliance Manager to oversee our compliance framework and ensure operations adhere to legal regulations and internal policies.

The role requires coordinating with regulatory bodies, maintaining up-to-date knowledge of SEBI regulations affecting an RA firm, and managing compliance documentation with a proactive approach.

Qualifications

• Bachelor's degree in Law, Finance, Business Administration, or related field.
• Master's degree or professional compliance certifications preferred (e.g., CCO, CRCM).
• Minimum of 5 years of experience as a Compliance Manager in financial services, with SEBI regulations familiarity.
• Knowledge of SEBI regulations and compliance for RA firms.
• Strong analytical, organizational and communication skills.
• Ability to manage multiple tasks and deadlines.

Responsibilities

• Coordinate with our Company Secretary firm to ensure full compliance with audit requirements for SEBI-registered RA firms.
• Monitor SCORES 2.0 (SEBI's portal for lodging complaints) and maintain a daily log of complaints with effective resolution.
• Keep accurate and current records of daily published trading and investing strategies, including Options Structures and Simply-Hedged Funds.
• Develop and enforce robust compliance programs and policies to mitigate legal and regulatory risks.
• Educate and train staff on compliance requirements and foster a culture of compliance.
• Stay informed about regulatory changes that may affect the firm and adapt compliance strategies accordingly.
• Prepare detailed compliance reports for senior management, outlining issues, solutions, and progress.

Skills

Analytical skills

Organizational skills

Communication skills

Attention to detail

Education

Bachelor's degree in Law, Finance, Business Administration, or related field

Master's degree or professional compliance certifications (e.g., CCO, CRCM) preferred

Job description

Compliance Manager (Financial Services)

• Location: Bandra, Mumbai
• Working days: Monday to Saturday
• Work from Home: Saturdays

Company Overview:

Octanom Tech Private Limited is a leading InvestTech firm that operates www.hedged.in, Indias first Hedged-Style trading and investing platform. We are focused on minimizing losses rather than maximizing profits, utilizing advanced AI technology to efficiently manage risk across financial instruments. As a SEBI-registered Research Analyst (RA) firm, we uphold stringent compliance and regulatory standards.

Job Summary:

We are seeking an experienced Compliance Manager to oversee our compliance framework, ensuring that all operations adhere to legal regulations and internal policies. This role requires a proactive approach to coordinating with regulatory bodies, managing compliance documentation, and maintaining an up-to-date understanding of the regulatory landscape affecting our business.

Key Responsibilities:

• Coordinate with our Company Secretary firm to ensure full compliance with audit requirements for SEBI-registered RA firms.
• Monitor and manage activities related to SCORES 2.0 (SEBIs portal for lodging complaints), maintaining a daily log of complaints and ensuring effective resolution.
• Keep accurate and current records of all daily published trading and investing strategies, including Options Structures and Simply-Hedged Funds.
• Develop and enforce robust compliance programs and policies that mitigate legal and regulatory risks.
• Educate and train staff on compliance requirements and foster a culture of compliance throughout the organization.
• Stay informed about changes in regulations that may affect the firm and adapt compliance strategies accordingly.
• Prepare detailed compliance reports for senior management, outlining issues, solutions, and progress.

Qualifications:

• Bachelors degree in Law, Finance, Business Administration, or a related field.
• Masters degree or professional compliance certifications (e.g., CCO, CRCM) preferred.
• A minimum of 5 years of experience as a Compliance Manager in the financial services industry, with a strong preference for candidates familiar with SEBI regulations and compliance management for RA firms.
• Comprehensive knowledge of the regulatory framework governing financial services and research analysis.
• Exceptional analytical, organizational, and communication skills.
• Proven ability to manage multiple tasks and projects effectively under tight deadlines.
• Demonstrated integrity and professionalism.

What We Offer:

• A critical role in a pioneering financial technology company.
• A chance to lead and shape the compliance strategy in a dynamic regulatory environment.
• Competitive salary and benefits package.