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Compliance Officer - RIA Overview We are seeking an experienced Compliance Officer for RIA (Registered Investment Advisor) with a strong background in regulatory compliance related to investment advisory services within a financial. This is a mid-senior-level position that requires a deep understanding of financial regulations, industry standards, and investment practices. The ideal candidate should have a minimum of 5 years of relevant experience working with regulatory bodies such as SEBI, AMFI, IRDAI etc. Key Responsibilities: Regulatory Compliance: - Monitor and interpret relevant financial regulations, laws, and guidelines that impact investment advisory activities. Ensure that the firm's activities comply with these requirements. - Stay up-to-date with relevant laws, regulations, and guidelines pertaining to the RIA industry, financial markets, risk management, and regulatory affairs. - Develop and implement strategies to ensure compliance with applicable regulations and guidelines. - Collaborate with legal and regulatory teams to respond to regulatory inquiries and conduct regulatory reporting as required. Policy Development & Risk Management: - Develop, implement, and maintain compliance policies and procedures specific to registered investment advising, and investment advisory services. - Collaborate with legal and risk management teams to align compliance objectives. - Identify, access, and mitigate potential compliance and regulatory risks associated with RIA. - Develop risk management strategies and controls. Compliance Programs: - Design, implement, and maintain effective compliance programs for RIA activities. - Conduct regular compliance risk assessments to identify areas of potential vulnerability and recommend appropriate measures to mitigate risks. - Develop and deliver compliance training programs to educate employees about regulatory compliance, risk management, and internal policies. Regulatory Filings and Reporting: - Ensure accurate and timely submission of required regulatory filings and reports related to investment advisory activities and RIA compliance. Internal Audits: - Coordinate and support internal and external audits related to investment advisory services, and RIA compliance. Vendor and Third-Party Oversight: - Evaluate compliance practices of external vendors, service providers, and third-party partners involved in investment advisory activities. Regulatory Intelligence: - Stay informed about evolving regulatory developments, industry trends, and best practices related to investment advising, and RIA compliance. Qualifications and Skills: - Bachelor's degree in finance, business, law, or a related field. Advanced degrees (e.g., MBA, JD) or relevant professional certifications (e.g., CFA, CCO) are often preferred. - Extensive experience (typically 5+ years) in compliance roles within the financial services industry, with a strong focus on investment advisory, and RIA compliance. - Comprehensive knowledge of relevant financial regulations, industry standards, and investment advisory rules. - Strong analytical, problem-solving, and strategic thinking skills. - Excellent communication, leadership, and team management abilities. - Detail-oriented with a proactive approach to identifying and addressing compliance issues. - Proficiency in compliance software, tools, and systems. - Ability to navigate complex regulatory landscapes and provide strategic compliance guidance.

Bangalore

Niyo - Compliance Officer - Registered Investment Advisor 

Job Description for Niyo - Compliance Officer - Registered Investment Advisor  in FINNEW SOLUTIONS PRIVATE LIMITED in  Bangalore for (5-15) years of experience. Apply Now!

Niyo - Compliance Officer - Registered Investment Advisor  | iimjobs.com