Compliance Officer - Sebi

Weekday AI (YC W21); India; On-site; INR 1,500,000 - 2,000,000; Full time

Job summary

Weekday AI (YC W21) is seeking a Company Secretary to serve as a Compliance Officer for SEBI registered entities. This full-time role requires 5-10 years of experience in asset management or financial services, with preferred expertise in AIF/PMS/Mutual Fund. The successful candidate will lead compliance functions, implement policies, and ensure adherence to regulatory requirements while managing a team and stakeholder interactions effectively.

Qualifications

• 5-10 years of experience as a Company Secretary.
• Proven track record in compliance for SEBI registered licenses.
• Ability to lead a team and manage stakeholder interactions.

Responsibilities

• Lead the entire compliance function for SEBI registered licenses.
• Establish and implement compliance policies as required.
• Ensure timely submissions of regulatory filings.
• Facilitate compliance testing programs.

Skills

Asset management experience

Financial services knowledge

AIF/PMS/Mutual Fund experience

Compliance management

Job description

This role is for one of Weekday's clients.

Salary range: Rs 1500000 - Rs 2000000 (ie INR 15-20 LPA).

Minimum experience: 5 years.

Job type: full-time.

Requirements

We are seeking a Company Secretary (5-10 years of experience) as our Compliance officer for SEBI registered entities looking for an intense and challenging role in our hedge‑portfolio platform. Ideal candidate: previous experience in asset management / financial services; highly preferred with AIF/PMS/Mutual Fund experience.

Roles & Responsibilities

• Lead the entire compliance function end‑to‑end for all SEBI registered licenses.
• Establish and implement all compliance policies applicable to all SEBI registered and regulated investment licences – AIF, PMS, RIA; regularly review and upgrade policies as required by regulation.
• Build and implement processes and systems to ensure smooth functioning of compliance function.
• Review and ensure timely & accurate submissions of regulatory filings.
• Facilitate establishing an audit and compliance testing program.
• Stakeholder management – monitor regulatory changes, assess impact, provide comments on consultative papers and act as a nodal point of contact between company and SEBI; participate in consultations or other regular discussions.
• Ensure timely response/interaction to SEBI onsite and offsite inspections and act as central coordinator for any regulatory exercises.
• Lead and facilitate interactions with Board, Audit Committee, and other committees; apprise all with compliance status and assist them to make informed judgments about compliance risk.
• Work in a team of 5‑6 members and lead 1‑2 staff.
• Value addition – get deeply involved with Product team in creation of financial strategies/products at inception; provide understanding of applicable regulations.
• Lead the exercise for prospective licences like Mutual Fund etc.
• Interpret regulations and seek clarifications from regulator and market as required.
• Assess changing regulations and proactively highlight potential risk areas; implement solutions accordingly.
• Recommend and institutionalize best governance policies and practices.

DNA

• We expect you to have higher energy, intellectual capability, and desire to handle bigger responsibilities than an average professional of your age/experience.
• We expect you to take initiative to learn on the job about different financial instruments and products.
• We expect you to create a positive environment for your team and help team members grow professionally.