909 Compliance Officer jobs in India

Job Title: Compliance Officer

Location: Noida

Employment Type: Full-Time

Job Purpose:

To ensure the organization complies with all applicable statutory, regulatory, and internal governance requirements. This includes overseeing internal processes, vendor risk, regulatory filings, and compliance training initiatives.

Key Responsibilities:

Compliance Audit and Reporting

• Conduct comprehensive reviews and maintain documentation to ensure adherence to regulatory requirements and internal standards.

Corporate Governance Review

• Evaluate the organization’s governance framework to ensure alignment with regulatory expectations and industry best practices.

Internal Controls and Process Audits

• Review and assess internal processes to identify control gaps and support the implementation of robust internal controls.

POSP Compliance Review

• Audit onboarding, training, and operations of Point of Sales Persons (POSPs) in accordance with applicable compliance guidelines.

Business Continuity and Disaster Recovery Review

• Support the implementation and testing of Business Continuity Planning (BCP) and Disaster Recovery (DR) frameworks.

Training and Awareness Programs

• Develop and conduct regular training sessions on AML/KYC norms, cybersecurity, and operational risk management.

Documentation for Regulatory Filings

• Assist in preparing and submitting timely, accurate documentation for statutory filings such as shareholding changes, periodic returns, etc.

Gap Analysis and Risk-Based Recommendations

• Conduct gap analyses to identify areas of non-compliance and provide tailored, risk-based recommendations.

Third-Party Vendor Due Diligence

• Perform compliance and risk assessments on third-party vendors to ensure appropriate controls are in place.

Preferred Qualifications:

• Company Secretary (CS) – Preferred
• Candidates with the following backgrounds will also be considered:
• LLB / LLM (Corporate Law / Compliance)
• Chartered Accountant (CA)
• MBA (Finance / Risk / Compliance)
• Graduate/Postgraduate in Commerce, Finance, or Business Law with relevant compliance or risk management experience

Preferred Skills & Experience:

• 4–10 years of experience in regulatory compliance, audits, or governance (preferably in insurance, financial services, or related sectors)
• Strong understanding of regulatory frameworks (IRDAI, SEBI, RBI, etc.)
• Excellent knowledge of corporate governance and internal control systems
• Strong documentation, communication, and presentation abilities
• Ability to collaborate across functions and manage multiple priorities effectively

Job Title: Compliance Officer

Location: Gurgaon, IN

Shift timings :- UK Shift 12:30PM -9:30 PM

About ICG Medical:

ICG Medical is a leading global healthcare recruiter with a focus on nurses (all specialities), midwives and home care/healthcare workers. Our company vision is to improve patient care. The DNA make up of our business stems from our core values: Open, Family and Passion. The business is made up of three recognised healthcare recruitment brands: Greenstaff Medical, Clinical24 and Cromwell Medical. Each deliver tailored solutions for our candidates and clients from our offices in the UK, Ireland, India, South Africa, China, Philippines, Australia, Canada and the USA with more office openings on the horizon.

Job Summary:

The Compliance Officer will be responsible for completing activities in relation to candidate compliance such as internal / external communications, completing any 3rd party requirements and receiving/uploading documentation to the company CRM and escalating any issues to the Senior Compliance Officer.

The Compliance Officer ensures that candidates are compliant with all rules, regulations and additional contractual obligations to meet the requirements when placed with our clients.

Responsibilities:

Ensuring All Candidates Are Eligible to Carry Out Their Duties

• Verifying that candidates meet all professional registration requirements and are legally eligible to perform their roles.

Assisting the Senior Compliance Officer

• Supporting the Senior Compliance Officer with day-to-day compliance tasks and contributing to the development and implementation of compliance strategies.

Delivery of Compliance Services

• Providing timely and effective compliance services to ensure adherence to regulatory requirements and company policies.

Maintaining the Company CRM System

• Managing and updating the company’s CRM system to ensure accurate and up-to-date information on candidates and clients.

Medical Professional Indemnity Cover

• Ensuring that all necessary medical professional indemnity cover is in place for candidates, in accordance with applicable regulations.

Assisting Candidates with Background Checks, Fitness to Work Applications, and Mandatory Training

• Helping candidates with their Background checks, fitness to work documentation, and mandatory training requirements to ensure compliance with company standards.

Maintaining Databases in Good Order and Time

• Keeping all relevant databases organized and updated promptly to support efficient operations and compliance.

Keeping Accurate Records of Communications

• Documenting all interactions, including notes and telephone contacts with candidates, external organizations, and recruiters, within the company CRM system.

Making Sure Agreed Timeframes Are Adhered To

• Ensuring that all compliance-related tasks and processes are completed within established deadlines.

Other Tasks as Assigned

• Performing additional duties as required to support the overall success of the business and contribute to its objectives, e.g.: requesting referrals on compliance calls.

Communication with Brand Sales Team

• Coordinating and communicating with the Brand Sales team to ensure alignment on compliance-related matters and support business operations.

Ensuring Reports Are Presented Within Agreed Schedules

• Preparing and submitting reports on compliance activities and outcomes in accordance with agreed timelines.

Escalation of Issues in Good Time

• Identifying and escalating compliance issues promptly to the appropriate personnel to ensure timely resolution.

Qualifications:

Minimum 1-year experience within the healthcare recruitment market, specifically within compliance

• Demonstrated experience in the healthcare recruitment industry with a focus on compliance-related functions, ensuring familiarity with industry standards and regulatory requirements

Experience of using CRM and ATS Systems

• Proficient in using CRM systems such as VDQ, Eclipse, and Now We Comply, enabling effective management of candidate and client data and compliance tracking.

Excellent English Proficiency

• Strong command of the English language, with exceptional skills in spoken and written communication and comprehension to facilitate clear and effective interactions.

Strong MS Office, Adobe ability

• Competent in using MS Office suite and Adobe software to create, edit, and manage documents, reports, and presentations efficiently.

Strong problem-solving ability

• Adept at identifying issues and developing practical solutions to overcome compliance challenges and improve processes.

Teamwork

• Capable of collaborating effectively with colleagues and teams to achieve shared objectives and contribute to a positive team dynamic.

Have initiative and be self-motivated

• Responsive to guidance and instructions while also demonstrating the ability to take initiative and work independently to drive results.

Reporting and Time management

• Skilled in managing your own workload and organizing tasks and reports systematically to ensure efficiency and productivity.

Work well under pressure

• Resilient and able to maintain performance and composure when facing tight deadlines or challenging situations.

Deadline driven

• Consistent in meeting deadlines and managing time effectively to ensure timely completion of tasks and projects.

Enthusiastic and dependable

• Demonstrates a positive attitude towards work with reliability and a strong commitment to meeting responsibilities and achieving goals.

Focused and Goal-oriented

• Maintains a clear focus on objectives and goals, driving efforts towards achieving targets and contributing to the success of the organization.

Attention to detail

• Pay close attention to detail, ensuring accuracy and thoroughness in all tasks and compliance-related activities.

We offer a competitive salary package, along with opportunities for professional growth and development within our dynamic organization.

Role: Compliance Officer

Candidate shall be responsible for:

• Any other tasks/responsibilities as may be assigned from time to time.
• Ability to liaise and interact with regulators.
• Ability to manage Audits.
• Ensuring 100% compliance across all existing and new products that the company manages.
• Ensuring end-to-end compliance with the provisions of all regulatory requirements i.e SEBI, IFSCA, Companies Act, FEMA etc.
• Should be aware of the latest regulatory requirements on all products.
• Support and guide in the implementation of new products as required by the company.
• Developing training material and doing training session.
• Supporting new technology initiatives and participation in new projects.
• Ensure all regulatory changes/ updates as given by the regulators are managed and installed in the system.
• Drafting and vetting of legal agreements/ contracts/ MOU/ notices to support the business and products team.
• Work on any other compliance matters as assigned from time to time.
• Ability to communicate well at all levels and directly engage with the Board of Directors and Managing Director on all compliance related aspects
• Should have good drafting and communication skills.se

Role Requirement:

• Qualification:

Graduation + CA / MBA

CS preferred but not mandatory.

• Experience:

Minimum 3 + years of relevant experience

Experience in PMS compliance / AIF Compliance / Gift AIF and Distribution compliance will be preferred

About the Company -

PlusWealth Capital Management , a high-frequency trading organization established in 2008, is a leader in innovative trading solutions. Join us as a Compliance Manager to shape the future of trading.

Responsibilities -

• Handling Compliance activities w.r.t Stock Broker and Depository Participant towards SEBI, Stock Exchanges, Depository, KRA, CKYC CERSAI, FIU, IFSCA Compliances, MCA, ROC, GIFT Authority, SEZ Operations and AIF (Alternative Investment Fund Cat-3)
• Regularly Coordinating with Regulators, Auditors, Custodian, Tax Consultants, RTA, Investors, Vendors, Consultants
• Looking after Daily/ Monthly/ Quarterly/ Half yearly/ Annual compliances of the AIF, Stock Broking, Depository Participant towards regulators including SEBI, IFSCA, Stock Exchanges, CDSL, MCA, Custodian, Fund Accountant, Tax Consultant and Auditors and Investors (Compliance Calendar of Stock Exchanges can be referred to for detailed tasks alongside monthly compliance calendars issued by consultant for AIF)
• Ensuring smooth functioning and conduct of all kinds of Audits, Inspections & Investigations of the organization conducted by SEBI, IFSCA, Exchanges, Depositories etc scheduled on regular or ad-hoc basis
• Handling Ad hoc queries from the Regulators (SEBI / IFSCA / GIFT Authority), Investigation / Surveillance Divisions of Exchanges / Depository, KRA, CERSAI, CKYC, FIU including Clients / Investors and RMS/Trading/Accounts division of the organization etc
• Reviewing E-mail boxes of all the entities mentioned above on daily basis to ensure every important communication gets addressed by the authorities
• Dealing with auditors, inspecting officials, stake holders, vendors, consultants on regular basis
• In addition to the above roles and responsibilities, the person will also overlooking / supervising / performing daily tasks as mentioned in attached tasks list of Compliance and DP departments