Compliance Manager

3 days ago

Gurugram, India Grip Invest Full time

We are looking for an experienced Company Secretarial professional with 4-6 years of experience in the relevant field. Only candidates with work experience with a SEBI regulated entity need to apply.


What You’ll Do

​

Regulatory Compliance:

  • Ensure compliance with SEBI regulations, including but not limited to broking activities, mutual fund distribution guidelines, and AIF operational requirements.
  • Maintain up-to-date knowledge of all applicable regulations, circulars, and guidelines issued by SEBI, AMFI, RBI, and other regulatory bodies.
  • Develop, update, and implement policies and procedures to align with regulatory requirements.

Risk Management:

  • Identify, assess, and mitigate compliance risks across all business activities.
  • Monitor and report breaches or potential violations of compliance policies.

Monitoring and Reporting:

  • Prepare and submit reports, disclosures, and returns as required by SEBI and other regulatory bodies within stipulated timelines.
  • Liaise with regulatory authorities during audits, inspections, and investigations.

Training and Awareness:

  • Develop and deliver training programs for employees to promote awareness of compliance requirements and ethical practices.
  • Ensure that all staff members, including senior management, understand their responsibilities concerning compliance.

Client Onboarding and KYC:

  • Oversee Know Your Customer (KYC) processes for new and existing clients to ensure compliance with Anti-Money Laundering (AML) and Combating the Financing of Terrorism (CFT) regulations.
  • Monitor ongoing client transactions for suspicious activities and report them to the Financial Intelligence Unit (FIU-IND) as necessary.

Record Keeping and Documentation:

  • Maintain comprehensive and accurate records of compliance-related activities, including client documentation, audit findings, and correspondence with regulators.
  • Ensure proper documentation of risk assessments, control measures, and compliance testing.


Your Superpowers


Experience

  • Company Secretary with 4+ years of progressive experience
  • Thorough knowledge of SEBI regulations around broking and AIF entities
  • Having worked in a SEBI regulated entity – OBPP, Broking, AIF, MFD or RA

Personality traits

  • You have an eye for process improvements and are organized with attention to detail
  • You thrive in a dynamic, fluid and unstructured environment because you are a self starter keen to learn and execute
  • You are adept at prioritization and project management with attentiveness to detail and consistent follow through
  • You are open to new ways of thinking and committed to acquiring new skills to retain a competitive advantage
  • Your key traits are integrity, credibility, and commitment

  • Compliance Manager

    13 hours ago

    gurugram, India Grip Invest Full time

    We are looking for an experienced Company Secretarial professional with 4-6 years of experience in the relevant field. Only candidates with work experience with a SEBI regulated entity need to apply.What You’ll DoRegulatory Compliance:- Ensure compliance with SEBI regulations, including but not limited to broking activities, mutual fund distribution...

  • Compliance Manager

    4 days ago

    Gurugram, India Grip Invest Full time

    We are looking for an experienced Company Secretarial professional with 4-6 years of experience in the relevant field. Only candidates with work experience with a SEBI regulated entity need to apply.What You’ll Do​Regulatory Compliance:Ensure compliance with SEBI regulations, including but not limited to broking activities, mutual fund distribution...

  • Compliance Manager

    2 days ago

    Gurugram, India Grip Invest Full time

    We are looking for an experienced Company Secretarial professional with 4-6 years of experience in the relevant field. Only candidates with work experience with a SEBI regulated entity need to apply. What You’ll Do ​ Regulatory Compliance: Ensure compliance with SEBI regulations, including but not limited to broking activities, mutual fund distribution...

  • Risk Compliance Manager

    3 days ago

    Gurugram, India airtel Full time

    Plan, manage, and perform Process Reviews, including determining audit objectives and scope, identifying and assessing risks, developing time budgets and audit programs, and ensuring adequate documentation for each reviewUsing knowledge/ expertise in performing reviews to determine compliance with all pertinent statutes, policies, procedures, effectiveness...

  • Risk Compliance Manager

    3 days ago

    Gurugram, India airtel Full time

    Plan, manage, and perform Process Reviews, including determining audit objectives and scope, identifying and assessing risks, developing time budgets and audit programs, and ensuring adequate documentation for each reviewUsing knowledge/ expertise in performing reviews to determine compliance with all pertinent statutes, policies, procedures, effectiveness...

  • Risk Compliance Manager

    2 days ago

    Gurugram, India airtel Full time

    Plan, manage, and perform Process Reviews, including determining audit objectives and scope, identifying and assessing risks, developing time budgets and audit programs, and ensuring adequate documentation for each review Using knowledge/ expertise in performing reviews to determine compliance with all pertinent statutes, policies, procedures, effectiveness...

  • Assistant Manager Compliance

    1 day ago

    Gurugram, India BHIVE Workspace Full time

    Job Description Skills: Regulatory Compliance, Risk Management, AML (Anti-Money Laundering), KYC (Know Your Customer), Internal Auditing, GDPR (General Data Protection Regulation), Compliance Monitoring Tools, ISO 27001 Compliance, Role Overview This role is responsible for enhancing the organizations compliance framework to support future debt and equity...

  • Grip Invest | Compliance Manager

    4 days ago

    gurugram, India Grip Invest Full time

    We are looking for an experienced Company Secretarial professional with 4-6 years of experience in the relevant field. Only candidates with work experience with a SEBI regulated entity need to apply. What You’ll Do ​ Regulatory Compliance: Ensure compliance with SEBI regulations, including but not limited to broking activities, mutual fund distribution...

  • Cyber Security Manager

    3 days ago

    Gurugram, India Jobtrix Full time

    Purpose:To ensure the protection and resilience of critical industrial systems and infrastructure against cyber threats. The OT Cybersecurity Manager will develop, implement, and oversee security strategies tailored to Operational Technology (OT) environments, which include Industrial Control Systems (ICS), Supervisory Control and Data Acquisition (SCADA)...

  • Compliance Manager – Internal Audit

    3 days ago

    Gurugram, India Eastman Auto & Power Limited Full time

    We are seeking an experienced Company Secretary who will be hired as a Compliance Manager, with 5-7 years of relevant work experience in Corporate Compliance Management, Regulatory, and Legal Compliance. The desired candidate should have an excellent understanding and knowledge of industry best practices and standards. The candidate should be capable of...

  • Compliance Manager – Internal Audit

    5 days ago

    Gurugram, India Eastman Auto & Power Limited Full time

    We are seeking an experienced Company Secretary who will be hired as a Compliance Manager, with 5-7 years of relevant work experience in Corporate Compliance Management, Regulatory, and Legal Compliance. The desired candidate should have an excellent understanding and knowledge of industry best practices and standards. The candidate should be capable of...

  • Compliance Manager – Internal Audit

    5 days ago

    Gurugram, India Eastman Auto & Power Limited Full time

    We are seeking an experienced Company Secretary who will be hired as a Compliance Manager, with 5-7 years of relevant work experience in Corporate Compliance Management, Regulatory, and Legal Compliance. The desired candidate should have an excellent understanding and knowledge of industry best practices and standards. The candidate should be capable of...

  • Compliance Manager – Internal Audit

    4 days ago

    Gurugram, India Eastman Auto & Power Limited Full time

    We are seeking an experienced Company Secretary who will be hired as a Compliance Manager , with 5-7 years of relevant work experience in Corporate Compliance Management, Regulatory, and Legal Compliance. The desired candidate should have an excellent understanding and knowledge of industry best practices and standards. The candidate should be capable of...

  • Analyst - IT Compliance

    3 days ago

    Gurugram, India Meritto Full time

    Position Overview: We are seeking a skilled and experienced Compliance Analyst to join our team. The Compliance analyst will assist in developing, implementing, and managing our company's compliance program to ensure adherence to all applicable laws, regulations, and industry standards. The ideal candidate will have a strong background in compliance...

  • airtel | Risk Compliance Manager

    3 days ago

    gurugram, India airtel Full time

    Plan, manage, and perform Process Reviews, including determining audit objectives and scope, identifying and assessing risks, developing time budgets and audit programs, and ensuring adequate documentation for each reviewUsing knowledge/ expertise in performing reviews to determine compliance with all pertinent statutes, policies, procedures, effectiveness...

  • Compliance Analyst

    1 week ago

    Gurugram, India American Express Full time

    At American Express, you’ll be recognized for your contributions, leadership, and impact—every colleague has the opportunity to share in the company’s success. Together, we’ll win as a team, striving to uphold our company values and powerful backing promise to provide the world’s best customer experience every day. And we’ll do it with the utmost...

  • Compliance Analyst

    3 days ago

    Gurugram, India American Express Full time

    You Lead the Way. We’ve Got Your Back.With the right backing, people and businesses have the power to progress in incredible ways. When you join Team Amex, you become part of a global and diverse community of colleagues with an unwavering commitment to back our customers, communities and each other. Here, you’ll learn and grow as we help you create a...

  • Compliance Analyst

    3 days ago

    Gurugram, India American Express Full time

    You Lead the Way. We’ve Got Your Back.With the right backing, people and businesses have the power to progress in incredible ways. When you join Team Amex, you become part of a global and diverse community of colleagues with an unwavering commitment to back our customers, communities and each other. Here, you’ll learn and grow as we help you create a...

  • Compliance Analyst

    2 days ago

    Gurugram, India American Express Full time

    You Lead the Way. We’ve Got Your Back. With the right backing, people and businesses have the power to progress in incredible ways. When you join Team Amex, you become part of a global and diverse community of colleagues with an unwavering commitment to back our customers, communities and each other. Here, you’ll learn and grow as we help you create a...

  • Compliance Officer

    3 days ago

    Gurugram, India Officebanao Full time

    Job Responsibilities:Ensure compliance with labour laws, including but not limited to PF, ESI, BOCW, and CLRA, for all ongoing projects.Maintain accurate records with the project contractor of workmen registers, KYC documents, muster rolls, wage slips, wage registers, overtime, advances, and labour welfare fund contributions.Monitor and ensure timely...