Compliance Manager
4 weeks ago
JOB OVERVIEW:
Practical, hands‑on experience of 1014 years in compliance within NBFCs or banks, with a strong focus on retail lending products (housing loans, personal loans, digital lending, LAP). Proven ability to interpret and apply evolving regulatory guidelines.
EXPERIENCE:
- Proven and rich experience of 10+ years in compliance with Banks / NBFCs.
- Practical knowledge of relevant regulatory requirements and guidelines related to retail lending.
- Strong analytical skills with the ability to interpret regulations.
- Team Leader. Excellent communication and interpersonal skills.
KEY RESPONSIBILITIES:
- Serve as the primary compliance interface for retail lending business lines including housing loans, personal loans, digital lending, and LAP.
- Review retail product proposals, new business initiatives, and operational processes & provide clear compliance advice, handling queries and clarifications.
- Periodically review and update retail compliance policies and procedures in line with regulatory guidance.
- Monitor regulatory developments (especially RBI) and assess their impact on retail operations and policies.
- Assist the Chief Compliance Officer in ensuring business-wide regulatory oversight.
- Lead or coordinate compliance‑related assignments or automation projects—guide end‑to‑end completion and implementation.
- Identify areas of compliance vulnerabilities, assess risks, and develop corrective action plans.
- Oversee pre‑ and post‑inspection activities, support regulatory inspections, and ensure timely remediation.
- Monitor internal compliance with policies and procedures across retail operations.
- Develop and nurture stakeholder relationships—engage with internal teams and external regulators or auditors.
-
Compliance Manager
3 days ago
Mumbai, Maharashtra, India SKS Enterpprises - Human Resource Planning and Management Full timePosition Name - Compliance Manager - Mutual FundLocation - MumbaiExperience Range years, preferably from a Trustee backgroundMandatory Requirement:strong background in compliance within the Mutual fund/Trustee/Financial Services domain, with expertise in regulatory frameworks, risk management, and governance processes.Job Roles and Responsibilities:Oversee...
-
Manager - Compliance
2 days ago
Mumbai, Maharashtra, India Tata AIA Life Full timeJob DescriptionRole descriptionPosition Overview:Position TitleManager - ComplianceDepartmentComplianceLevel/Band401LocationMumbaiReports toAssistant Vice President - ComplianceRole Summary:.Provide extensive legal search and evaluating industry benchmark to opine on various business initiatives and legal provisions..Review product and marketing...
-
Compliance Manager
3 days ago
Mumbai, Maharashtra, India Emkay Global Financial Services Ltd Full timeJob Responsibilities :-• Monitoring of ongoing compliance and reporting as required under SEBI AIF and PMS regulation – Preparation and submission of required monthly, quarterly, annual regulatory/ CTR and other compliance filings, reports, & disclosures to SEBI and other relevant authorities like trustees, custodians, RBI, etc.• Liasoning and...
-
Compliance Manager
3 weeks ago
Mumbai, Maharashtra, India 5paisa Full timeAbout us: 5paisa Capital Ltd. stands at the forefront of India's fintech revolution, offering a comprehensive digital platform for retail investors and traders. With a commitment to democratizing financial services, 5paisa provides a suite of products including stocks, Futures & Options, Mutual Funds, IPOs, all accessible through user-friendly mobile...
-
Compliance Manager
2 weeks ago
Mumbai, Maharashtra, India Emkay Global Financial Services Ltd Full timeJob Responsibilities :-• Monitoring of ongoing compliance and reporting as required under SEBI AIF and PMS regulation – Preparation and submission of required monthly, quarterly, annual regulatory/ CTR and other compliance filings, reports, & disclosures to SEBI and other relevant authorities like trustees, custodians, RBI, etc.• Liasoning and...
-
Compliance Manager
1 day ago
Mumbai, Maharashtra, India Emkay Global Financial Services Ltd Full timeJob Responsibilities :-• Monitoring of ongoing compliance and reporting as required under SEBI AIF and PMS regulation – Preparation and submission of required monthly, quarterly, annual regulatory/ CTR and other compliance filings, reports, & disclosures to SEBI and other relevant authorities like trustees, custodians, RBI, etc.• Liasoning and...
-
Compliance Manager
3 weeks ago
Mumbai, Maharashtra, India Liberty Mutual Full timeJob DescriptionKey Responsibilities:- Preparation delivery of compliance review testing plan.- Independently concludes on the effectiveness of controls through the review and monitoring.- Communication of control issues and related recommendations to Operational management and respective team.- Provide recommendations for finding rankings and effectively...
-
Compliance Manager
2 weeks ago
Navi Mumbai, Maharashtra, India White Force Full timeJob description Urgent requirement for the position of Compliance Manager in the company Location- Navi Mumbai (Vaashi) Experiance - Min 3yrs of experiance in broking compliance
-
Compliance Manager
3 weeks ago
Mumbai, Maharashtra, India Piramal Enterprises Limited Full timeJOB OVERVIEW: Practical, hands‑on experience of 1014 years in compliance within NBFCs or banks, with a strong focus on retail lending products (housing loans, personal loans, digital lending, LAP).Proven ability to interpret and apply evolving regulatory guidelines.EXPERIENCE: Proven and rich experience of 10+ years in compliance with Banks /...
-
Compliance Manager
4 hours ago
Mumbai, Maharashtra, India SK Finance Ltd Full timeTo ensure adherence of submission of returns to regulatory & statutory authorities in a timely manner.To conduct AML transaction monitoring & review of Risk Categorization of customers.To assist in compliance review & monitoring of various departments.To handle communications with regulatory bodies.To assist in preparation of MIS/ Dashboards for Board and...
