Compliance Officer - Sebi

HITACHI VANTARA INDIA PRIVATE LIMITED; India; On-site; INR 1,500,000 - 2,000,000; Full time

Job summary

HITACHI VANTARA INDIA PRIVATE LIMITED is seeking a Company Secretary with 5–10 years of experience to lead compliance for SEBI-registered entities within our hedge fund-style investing platform.

You will establish policies, oversee filings, and coordinate with regulators while guiding a small team. The ideal candidate has asset management experience and a CS qualification, with strong governance skills.

Qualifications

• CS qualification with 5–10 years in compliance for SEBI-regulated entities.
• Experience in asset management or financial services; familiarity with AIF/PMS/Mutual Funds.
• Ability to lead a team and coordinate with the Board and regulators.
• Strong knowledge of regulatory filings and governance policies.

Responsibilities

• Lead the entire compliance function end-to-end for all SEBI registered licenses.
• Establish and implement compliance policies applicable to SEBI registered licenses – AIF, PMS, RIA.
• Build and implement processes to ensure smooth compliance operations.
• Review and ensure timely submissions of regulatory filings.
• Coordinate audits and compliance testing; manage regulatory interactions.
• Monitor regulatory changes and advise on impact to business.
• Engage with Board and Audit Committee; report status of compliance.
• Mentor 1–2 staff and develop team capabilities.

Skills

Regulatory compliance

Stakeholder management

SEBI regulations

Corporate governance

Audit coordination

Education

Company Secretary (CS) certification

Job description

Overview

This role is for one of Weekday’s clients

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

Min Experience: 5 years

JobType: full-time

Requirements

We are seeking a Company Secretary (5-10 years of experience) as our Compliance officer for SEBI registered entities who is looking forward to an extremely intense and challenging role in our hedge fund-styled investing platform. An ideal candidate would be someone who has held position in a similar profile in the asset management / financial services space. Candidates with specific experience in the AIF/PMS/Mutual Fund space will be highly preferred.

Roles & responsibilities

1. Lead the entire compliance function end-to-end for all SEBI registered licenses
2. Establish and implement all the compliance policies that are applicable to all SEBI registered and regulated investment licences – AIF, PMS, RIA. Regularly review and upgrade the policies as required by regulation.
3. Build and implement processes and systems to ensure smooth functioning w.r.t compliance function
4. Review and ensure timely and accurate submissions of various regulatory filings are on time and accurate.
5. Facilitate establishing an audit and compliance testing program.
6. Stakeholder management
7. Monitor regulatory changes, assess impact on business, provide comments on consultative papers and act as a Nodal point of contact between the Company and SEBI and to be a participant to the consultations or other regular discussions.
8. Ensuring the timely response/ interactions thereof to the SEBI onsite and offsite inspections and be the central coordinator for any regulatory exercises.
9. Lead and facilitate interactions with the Board, Audit Committee, and other committees. Apprise all with the status of compliance with respect to the regulatory requirements and assist them to make an informed judgment on whether the SEBI registered entity/funds are managing its compliance risk effectively.
10. Work in a team of 5-6 members and lead 1-2 staff
11. Value addition
12. Get deeply involved with the Product team in creation of financial strategies/products right at the inception and provide understanding of applicable regulations
13. Lead the exercise for prospective licenses like Mutual Fund etc
14. Interpret regulations and seek clarifications from Regulator and from the market, as required.
15. Assess changing regulations and proactively highlight potential risk areas and implement solutions accordingly.
16. Recommend and institutionalize best governance policies and practices.

DNA

1. We expect you to have higher energy, higher intellectual capability and a desire to handle bigger responsibilities than an average professional of your age/experience will generally do.
2. We expect you to take a lot of initiative to do on-the-job learning about different financial instruments and products.
3. We expect you to create a positive environment for your team and help your team members grow professionally as well.