Compliance Officer (from Investment Banking Industry)

HITACHI VANTARA INDIA PRIVATE LIMITED; India; Hybrid; INR 1,200,000 - 1,800,000; Full time

Benefits offered by this job

Flexible work hours

Remote collaboration

Continuous learning via industry certs

Job summary

HITACHI VANTARA INDIA PRIVATE LIMITED is seeking a Regulatory Compliance professional to monitor and enforce compliance across trading, onboarding and AML workflows. You will conduct risk assessments, prepare regulatory filings, and collaborate with Legal, Risk and Front Office to embed guardrails into new products and processes.

The role includes delivering training, tracking regulatory updates in India and APAC, and working with global banks and regulators in a fast-paced environment.

Qualifications

• Must have: SEBI Regulations, RBI Directives, AML/CFT Compliance, FEMA Guidelines.
• Experience with Regulatory Reporting and Internal Audit Procedures.
• Proficient in MS Excel (Advanced) and Compliance Risk Assessment.
• Preferred: MiFID II or Dodd-Frank knowledge; experience with GRC tools (MetricStream, NAVEX); CA/CS/ICWA certification.

Responsibilities

• Monitor and enforce adherence to SEBI, RBI, FEMA, and internal policies across trading, onboarding, and AML workflows.
• Conduct periodic risk assessments, control testing, and gap analyses; identify exposure and propose corrective actions.
• Prepare regulatory filings, audit reports, and response packs for auditors and regulators.
• Collaborate with Legal, Risk, and Front Office to embed compliance guardrails into new products and changes.
• Deliver compliance training sessions and awareness campaigns across the organization.

Skills

SEBI Regulations

RBI Directives

AML/CFT Compliance

FEMA Guidelines

Regulatory Reporting

Internal Audit Procedures

Compliance Risk Assessment

MS Excel (Advanced)

Education

CA/CS/ICWA certification

Tools

MetricStream

NAVEX

Job description

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 financehelping 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 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 certification

Benefits & Culture Highlights

Work directly with global investment banks and regulatorsbuild 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: adherence,apac,aml,compliance,investment,rbi,finance,risk,global investment,dodd-frank .