Investment Banking – Compliance Officer

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Beyond Border Consultants
Mumbai, MAHARASHTRA, India
1000000 - 1500000 INR / ANNUAL
  • Finance
  • FlexTime
  • FullTime

About the Opportunity

A fast-growing fintech and regulatory advisory firm serving global investment banks and asset managers, we specialize in navigating complex financial compliance landscapes across India and APAC. Our team partners with tier-1 financial institutions to design, implement, and audit controls that meet SEBI, RBI, FEMA, and global standards like AML/CFT, MiFID II, and Dodd-Frank. We operate at the intersection of regulation, technology, and finance—helping clients stay ahead of evolving compliance mandates while scaling securely. Role & Responsibilities

  • Monitor and enforce adherence to SEBI, RBI, FEMA, and internal policies across trading, client onboarding, and AML workflows.
  • Conduct periodic risk assessments, control testing, and gap analyses to identify exposure and recommend corrective actions.
  • Prepare regulatory filings, audit reports, and response packs for internal/external auditors and regulators.
  • Collaborate with Legal, Risk, and Front Office teams to embed compliance guardrails into new product launches and process changes.
  • Deliver compliance training sessions and awareness campaigns for employee populations across functions.
  • Track regulatory updates across India and APAC, translating them into actionable policy changes and control enhancements.

Skills & Qualifications

  • Must-Have:

  • SEBI Regulations

  • RBI Directives

  • AML/CFT Compliance

  • FEMA Guidelines

  • Regulatory Reporting

  • Internal Audit Procedures

  • Compliance Risk Assessment

  • MS Excel (Advanced)

  • Preferred:

  • Knowledge of MiFID II or Dodd-Frank

  • Experience with GRC tools (e.g., MetricStream, NAVEX)

  • CA/CS/ICWA certification

Benefits & Culture Highlights

  • Work directly with global investment banks and regulators—build influence at the highest levels of finance.
  • Fast-paced, meritocratic culture where proactive problem-solvers drive real regulatory impact.
  • Flexible work hours, remote collaboration options, and continuous learning through industry certifications.
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