Compliance officer, PMS / AIF / AMC

About the Role

Yubi is redefining global debt markets by freeing the flow of finance between borrowers, lenders, and investors.

Key Responsibilities

• Develop and implement a robust compliance framework aligned with applicable financial regulations and industry standards.
• Conduct risk assessments to identify and mitigate compliance risks associated with fintech products and services.
• Oversee the implementation and monitoring of anti-money laundering (AML) and know-your-customer (KYC) programs.
• Ensure compliance with data privacy laws, cybersecurity regulations, and consumer protection regulations.
• Collaborate with product development teams to embed compliance controls in fintech solutions.
• Provide compliance training and guidance to employees across various business functions.
• Monitor regulatory changes and updates relevant to the fintech industry, and adapt compliance strategies accordingly.
• Represent the company in regulatory examinations, audits, and investigations.
• Establish and maintain relationships with regulatory bodies and industry associations.
• Lead the compliance team and promote a culture of ethical conduct and regulatory adherence.

Requirements & Tech Stack

• Proven experience in a compliance role within the Indian financial services sector, with specific exposure to:
• Mutual Fund distribution regulations (SEBI (Mutual Funds) Regulations, AMFI guidelines).
• Portfolio Management Services (PMS) regulations (SEBI (Portfolio Managers) Regulations).
• Regulations pertaining to equity, bond markets and knowledge in Companies Act.
• Insurance regulations (e.g., IRDAI (Protection of Policyholders' Interests) Regulations, IRDAI (Licensing of Insurance Agents) Regulations, and other relevant IRDAI guidelines).
• Extensive knowledge of financial regulations, compliance programs, and risk management in the fintech industry.
• Technical understanding of fintech products, services, and emerging technologies, along with their compliance implications.
• Strong leadership and management skills to lead and collaborate with cross-functional teams and stakeholders.
• In-depth expertise in relevant regulations, industry standards, and ability to adapt to regulatory changes.

Qualifications

• Bachelor's degree in Law/ Finance/ Business Administration, or a related field.
• A Company Secretary (CS) qualification or relevant compliance certifications (e.g., NISM certifications for Mutual Funds and PMS) are highly preferred.