Compliance Officer (Legal)
Legal compliance officers ensure that companies adhere to applicable laws, regulations and internal policies. With growing regulatory complexity in banking, finance, pharmaceuticals and listed companies, compliance professionals with legal backgrounds are in high demand.
Roles and Responsibilities
- Regulatory compliance monitoring and reporting
- SEBI, RBI and FEMA compliance for regulated entities
- Drafting and implementing compliance policies and procedures
- Training and awareness programmes for employees
- Liaising with regulators and handling regulatory queries
- Internal audit support and compliance risk assessment
Skills Required
- Company law, SEBI LODR and corporate governance regulations
- RBI and FEMA regulatory framework for banking and forex
- PMLA, anti-corruption and anti-bribery compliance
- Risk assessment and compliance audit skills
- Regulatory liaison and communication
- Knowledge of industry-specific regulations (pharma, fintech, insurance)
Career Roadmap
1
Complete LLB with focus on company law and regulatory subjects
2
Obtain Compliance Officer certification (IIBLP, ICSI) for credibility
3
Start in compliance role at NBFC, bank or listed company
4
Build expertise in sector-specific regulatory framework
5
CS qualification alongside LLB is a strong combination
Salary Range
Junior (0-3 yrs)
Rs 4 to 9 LPA
Figures are indicative and vary by city, employer and experience.
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