Compliance Officer

About The 1% Club:

Our exclusive members-only community is designed with a clear purpose: to guide individuals towards achieving financial freedom and reaching the top 1%. We firmly believe that India's financial services sector is underutilized, and our core strategy revolves around raising awareness through targeted content creation, effectively channeling a high-intent audience towards financial services.

As members of our community, our primary commitment shifts towards empowering individuals to embrace the all-encompassing lifestyle enjoyed by the top 1%. This entails:

1. Enhancing their financial returns.

2. Unlocking their full earning potential.

3. Cultivating a robust network of connections. 

Position Overview:

We are seeking a Compliance Officer to join our Wealth Management department, specifically to manage regulatory and compliance-related activities under the RIA (Registered Investment Adviser) framework. The ideal candidate will have 1–2 years of experience in handling RIA compliance matters and a good understanding of SEBI guidelines, with the ability to support internal governance and ensure regulatory adherence.

Key Responsibilities:

• Ensure adherence to SEBI (Investment Advisers) Regulations, 2013 and any subsequent amendments

• Handle SEBI filings, reporting, disclosures, and documentation in a timely and accurate manner

• Maintain up-to-date compliance records including KYC, client risk profiling, investment rationale, and advisory agreements

• Review and vet all client communications, investment advice, marketing materials, and digital content for compliance

• Assist in the preparation and maintenance of internal audit checklists, compliance registers, and standard operating procedures (SOPs)

• Conduct internal compliance checks and audits at defined intervalsAct as the liaison with regulatory bodies including SEBI during inspections or audits

• Support senior management by highlighting compliance gaps and suggesting process improvements

• Stay updated on regulatory changes, circulars, and industry best practices and communicate them internally

• Assist in training and educating team members on compliance and regulatory matters

Requirements:

• 1–2 years of hands-on experience in compliance roles within RIA/Wealth Management/Financial Advisory setup

• Strong knowledge of SEBI guidelines, especially those applicable to Registered Investment Advisers

• Familiarity with documentation related to client onboarding, portfolio reporting, and conflict of interest management

• Proficiency in MS Office tools (Excel, Word, PPT)

• Detail-oriented, process-driven, and proactive approach to work

• Excellent interpersonal skills and ability to work with multiple internal teams

Preferred Qualifications:

• Exposure to working in a WealthTech, Fintech, or financial advisory setup

• Experience with compliance tracking tools or software

Life at The 1% Club:

Founded by Sharan Hegde (linkedin.com/in/sharanhegde95) and Raghav Gupta (linkedin.com/in/raghavgupta01), company culture is centered around creativity, innovation, and teamwork, and we value our employees as much as we value our audience. We provide a fun and

inclusive work environment with opportunities for growth and development. And if that's not enough, we also offer a competitive salary and a chance to work on exciting projects that challenge you to think outside the box and push the boundaries of what's possible. So if you're a social media savvy personal finance enthusiast looking for a cool place to work, join our team and be part of our mission to educate and empower India to take control of their finances. Don't miss out on the opportunity to be a part of a talented and dedicated team working towards a common goal.

Apply now to join our team!