Compliance Officer - Non-Broking & Cyber Security Compliance

Greetings for the day!!

ICICI Securities is hiring for Compliance Officer role for Navi Mumbai location.

If interested, kindly share your cv on [Confidential Information] or [HIDDEN TEXT]

Job Title: Compliance Officer Non-Broking & Cyber Security Compliance

Function: Compliance Wealth Management / PMS / Merchant Banking

Reporting To: Compliance Officer

Job Summary:

• We are seeking an experienced Compliance professional to lead and manage regulatory compliance for non-broking businesses including PMS, AIF, Mutual Funds, Investment Advisory, Wealth Management, Research, and Merchant Banking.
• The role also includes oversight of IT and Cyber Security compliance in coordination with Information Security and Technology teams.
• The incumbent will ensure end-to-end implementation of regulatory requirements, timely regulatory reporting, and effective engagement with regulators and market intermediaries.

Key Responsibilities:

• Monitor and interpret regulatory changes impacting non-broking businesses and ensure timely implementation.
• Implement and update compliance policies, procedures, and controls in line with regulatory circulars.
• Coordinate with internal stakeholders to ensure end-to-end regulatory compliance across Wealth, PMS, IA, and Merchant Banking businesses.
• Oversee IT and Cyber Security compliance in collaboration with Information Security and Technology teams.
• Ensure timely and accurate regulatory filings, submissions, and responses to regulatory queries.
• Liaise with regulators, MIIs, and industry forums; provide feedback on draft regulations and policy proposals.
• Maintain accurate compliance documentation and ensure alignment with organizational policies.

Qualifications & Experience:

• Masters degree in Business, Finance, Law, CA/CS, or related field.
• Strong understanding of regulations applicable to non-broking licenses.
• CISA/DISA or Capital Market/Audit certifications will be an added advantage.

Skills & Competencies :

• Strong analytical, problem-solving, and stakeholder management skills.
• Excellent communication and documentation abilities.
• High attention to detail and strong ethical standards.
• Ability to work cross-functionally and influence teams for regulatory implementation.

Regards

Team HR

ICICI Securities