Compliance Manager

Compliance Manager (Financial Services)

• Location: Bandra, Mumbai
• Working days: Monday to Saturday
• Work from Home: Saturdays

Company Overview:

Octanom Tech Private Limited is a leading InvestTech firm that operates

www.hedged.in, Indias first Hedged-Style trading and investing platform. We are focused on minimizing losses rather than maximizing profits, utilizing advanced AI technology to efficiently manage risk across financial instruments. As a SEBI-registered Research Analyst (RA) firm, we uphold stringent compliance and

regulatory standards.

Job Summary:

We are seeking an experienced Compliance Manager to oversee our compliance framework, ensuring that all operations adhere to legal regulations and internal policies. This role requires a proactive approach to coordinating with regulatory bodies, managing compliance documentation, and maintaining an up-to-date understanding of the regulatory landscape affecting our business.

Key Responsibilities:

• Coordinate with our Company Secretary firm to ensure full compliance with audit requirements for SEBI-registered RA firms.
• Monitor and manage activities related to SCORES 2.0 (SEBIs portal for lodging complaints), maintaining a daily log of complaints and ensuring effective resolution.
• Keep accurate and current records of all daily published trading and investing strategies, including Options Structures and Simply-Hedged Funds.
• Develop and enforce robust compliance programs and policies that mitigate legal and regulatory risks.
• Educate and train staff on compliance requirements and foster a culture of compliance throughout the organization.
• Stay informed about changes in regulations that may affect the firm and adapt compliance strategies accordingly.
• Prepare detailed compliance reports for senior management, outlining issues, solutions, and progress.

Qualifications:

• Bachelors degree in Law, Finance, Business Administration, or a related field.
• Masters degree or professional compliance certifications (e.g., CCO, CRCM) preferred.
• A minimum of 5 years of experience as a Compliance Manager in the financial services industry, with a strong preference for candidates familiar with SEBI regulations and compliance management for RA firms.
• Comprehensive knowledge of the regulatory framework governing financial services and research analysis.
• Exceptional analytical, organizational, and communication skills.
• Proven ability to manage multiple tasks and projects effectively under tight deadlines.
• Demonstrated integrity and professionalism.

What We Offer:

• A critical role in a pioneering financial technology company.
• A chance to lead and shape the compliance strategy in a dynamic regulatory environment.
• Competitive salary and benefits package.

If interested, please reach out at [email protected] or +91 8169147367