Compliance Officer - Financial Service/Asset Management - CS/LLB

Company type: Real estate-focused asset management company

- Industry: Financial Services (Asset management)

- Qualification: CS & LLB (Both qualification are must)

- Experience: 5-10 years of experience in privately held AMC/AIF

- Previous experience with AMC/AIF is a must.

- The candidate should have strong legal and compliance knowledge.

Position : Compliance Officer (Risk management & Compliance)

Location : Powai, Mumbai

Key Responsibilities:

- Regulatory Compliance & Governance

- Ensure compliance with SEBI, RBI, RERA, AML/KYC regulations, and other applicable laws

governing asset management and real estate investments.

- Develop, implement, and monitor internal compliance policies and controls to mitigate regulatory risks.

- Conduct audits, risk assessments, and compliance reviews to ensure adherence to statutory requirements.

- Liaise with regulatory authorities, legal advisors, and auditors on compliance-related matters.

- Ensure accurate and timely filings of regulatory reports, contracts, and disclosures.

- Provide training to employees on compliance policies, corporate governance, and risk management best practices.

Investment Committee & Risk Management:

- Actively participate in the Investment Committee, analyzing potential investments from a risk and compliance perspective.

- Assess legal, financial, and regulatory risks associated with investments in real estate assets and funds.

- Identify mitigation strategies to manage risks, ensuring compliance with industry standards and best practices.

- Collaborate with investment and finance teams to structure deals that align with regulatory requirements.

- Monitor and evaluate investment contracts, due diligence reports, and transaction structures to ensure compliance.

Stakeholder & Business Support:

- Assist in investor due diligence processes and legal documentation.

- Support business teams with contract reviews, risk mitigation strategies, and regulatory interpretations.

- Stay updated on regulatory changes and evolving investment laws, ensuring timely implementation of new compliance measures.

Key Skills & Qualifications:

- CS & LLB (Mandatory) Strong legal and regulatory compliance background.

- 5-10 years of experience in compliance, regulatory affairs, or legal advisory roles.

- Experience in real estate asset management or financial services is preferred.

- Strong understanding of SEBI, RERA, AML/KYC regulations, corporate governance, and risk management.

- Commercial understanding of market dynamics and investment structures in real estate.

- Excellent analytical, problem-solving, and communication skills.

- Ability to work independently and collaborate with internal teams and external regulators.

Other Requirements:

- High ethical standards and attention to detail.

- Ability to handle confidential information with discretion.

- Experience in real estate fund management or investment compliance is an added advantage.