Compliance Officer - Mumbai, Maharashtra, India - LLama Research

Description

Who we are:

LLama Research isn't your typical investment advisory firm We're a WealthTech startup on a mission to make investment management accessible and approachable for everyone.

We believe financial guidance shouldn't be intimidating, so we're here to empower digital natives with clear, user-friendly tools and support.

Who you are:
An exceptional and innovative individual with a passion for building delightful user experiences and a commitment to ethical practices.

You're eager to make a positive impact on millions of lives You're organized, detail-oriented, and thrive in a fast-paced environment.

Why LLama Research? We're a positive, transparent, and inclusive team that celebrates success together. We value individual brilliance and encourage a "bias for action" mentality. Here, you'll be surrounded by ambitious people who are all about growth and impact.


Your Superpower:
Compliance
As our Compliance Officer, you'll wield the power of regulations to ensure we operate with integrity and transparency. You'll be the champion of SEBI (IA Regulations) and other applicable rules, keeping us on the straight and narrow.


Here's your Kryptonite (but you'll totally conquer it):

• Ensuring compliance with SEBI regulations for Investment Advisory and Portfolio Management and Financial Crime (AML & Sanctions). Monitoring operations, client communications, reporting, and return filing.
• Conducting compliance audits and tests across all business units. Developing and maintaining the Compliance bible (manuals, checklists, etc.) and staying updated on regulations.
• Drafting and updating Compliance policies aligned with regulations and best practices. Managing audits (including regulatory audits) and liaising with auditors and regulators.
• Building a comprehensive compliance program that adheres to IA Regulations. Reviewing policies and procedures to identify and mitigate potential risks.
• Monitoring employee adherence to compliance policies. Delivering compliance training on IA Regulations, AML, and other relevant topics.
• Overseeing client onboarding for KYC and suitability compliance.
• Analyzing investment recommendations and disclosures for accuracy. Submitting regulatory reports to SEBI on time.
• Handling investor grievances as per regulations and within prescribed timelines.
• Investigating potential compliance breaches and recommending solutions. Maintaining detailed records of all compliance activities and reports.

Do you have the following superpowers?

• Undergrad with progress towards CS and LLB. Maximum 23 years of experience wielding compliance magic (SEBI experience a plus).
• Deep understanding of relevant regulations, laws, and industry practices.
• Excellent analytical, interpersonal, communication, and facilitation skills.
• Problemsolving skills sharper than a diamond sword.

Join Us We're building a diverse and inclusive team because different perspectives make us stronger and more fun We celebrate your unique talents and hire based on merit, not background.


Pay:
₹15, ₹25,000.00 per month


Benefits:

• Flexible schedule

Schedule:

• Day shift
• Monday to Friday

Supplemental pay types:

• Performance bonus

Work Location:
In person

Application Deadline: 15/05/2024

Expected Start Date: 27/05/2024