Compliance Officer

abans· Compliance Advisory
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📍 Mumbai, MH, IndiaFULL TIME

About this role

Job role – Compliance Officer
  • Professional Services Experience: 5–6 years with Dhruva Advisors or a similar consulting/advisory firm.
  • Financial Services Experience: A minimum of 5 years in the financial services sector, which must be the candidate's most recent role.
  • Industry Experience: At least 2 years of industry experience in the financial services sector, preferably with a listed company or an unlisted subsidiary of a listed company.
  • Mandatory Regulatory Exposure:
    • RBI regulations
    • SEBI regulations
    • IFSCA regulations
    • Company law and corporate governance
    • Fund formation and fund operations
  • Preferred Profile: Candidates with experience in NBFCs, asset management companies, fund management entities, investment firms, or other regulated financial services businesses.
Job Description – Compliance Officer
  • Ensure compliance with the Companies Act, SEBI Regulations, RBI guidelines, stock exchange requirements, and other applicable laws and regulations.
  • Lead all corporate governance activities, including Board, Committee, and shareholder meetings, and ensure timely preparation of agendas, resolutions, and minutes.
  • Oversee all statutory, regulatory, and periodic filings with regulatory authorities, stock exchanges, and other stakeholders.
  • Advise senior management and the Board on regulatory developments, governance matters, and legal implications of business decisions.
  • Manage compliance relating to listed equity and debt securities, including issuance, listing, post-listing obligations, and ongoing covenant monitoring.
  • Review and implement internal policies, governance frameworks, and compliance processes to strengthen the Company's control environment.
  • Monitor compliance with insider trading regulations, related party transactions, corporate governance norms, and disclosure requirements.
  • Coordinate with regulators, stock exchanges, depositories, trustees, auditors, legal counsel, merchant bankers, and other external stakeholders.
  • Support fundraising transactions, strategic investments, restructuring initiatives, mergers and acquisitions, and other corporate actions from a compliance perspective.
  • Provide regulatory guidance on new business initiatives, products, and strategic projects to ensure compliance with applicable laws.
  • Oversee compliance reviews, internal audits, secretarial audits, and regulatory inspections, and ensure timely closure of observations.
  • Draft, review, and negotiate legal, regulatory, and governance-related documentation, including agreements, policies, and official correspondence.
  • Track changes in laws and regulations, assess their impact on the business, and drive timely implementation across the organization.
Collaborate with cross-functional teams to promote a strong culture of compliance, ethical conduct, risk awareness, and good corporate governance while supporting business growth.

Frequently Asked Questions

Is the salary disclosed for the Compliance Officer position at abans?
The salary for this Compliance Officer role at abans is not publicly listed. Click "Apply Now" to learn more about the compensation package on their official careers page.
Where is the Compliance Officer position at abans located?
This Compliance Officer role at abans is based in Mumbai, MH, India. The position is listed as on-site or hybrid. Check the full job description or apply directly to confirm the work arrangement.
Is the Compliance Officer role at abans full-time or part-time?
This is listed as a FULL TIME position. It is posted as a Compliance Officer role in the Compliance Advisory department at abans.
Which team or department does the Compliance Officer at abans belong to?
This Compliance Officer position is part of the Compliance Advisory department at abans. See the full job description for more information about the team structure and responsibilities.
How do I apply for the Compliance Officer position at abans?
Click the "Apply Now" button on this page. You will be redirected to abans's official application portal hosted on keka where you can submit your application directly.
When was the Compliance Officer job at abans posted?
This Compliance Officer position at abans was posted on Sep 3, 2026. Apply as soon as possible — early applications are often reviewed first.
Compliance Officer
abans
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