Assistant Manager Compliance

1 week ago


Delhi, Delhi, India Nippon India Mutual Fund Full time

Location:
Mumbai Corporate Office

Department:
Legal, Secretarial & Compliance

Grade:
IL 5 Organizational relationships Reports to: AVP CompliancePurpose of the Job:Responsible for handling SEBI mutual fund and PMS compliances and rendering support for other related matters

Key responsibilities:


Preparation & timely submission/ filings of statutory reports meant for Board of AMC, Trustee, AMFI & SEBI.Compliance of listing guidelines including coordination with NSDL/ CDSL/NSE /BSE etc.

Reporting under SEBI (Substantial Acquisition of Shares & Takeover) Regulations & SEBI (Insider Trading) Regulations.
Drafting of Scheme Information Documents, Statement of Additional Information, Key Information Memorandum, Notices & Addendums.
Drafting of PMS Disclosure Document.
Monitoring compliance requirements relating to investors servicing/ grievances etc.
Reviewing Advertisements & other marketing materials.
Uploading of reports on SEBI Mutual Fund & PMS portals.

Behavioral Competencies:
Good drafting & interpretational skills.
Proactive & positive approach.
Ability to independently handle delegated assignments.

Role Specific Competencies:
Should be well versed with SEBI regulations & Compliance procedures Ability to handle defined compliance activities independently.

Formal Qualifications / Prior Work Exp:
CS/ CA with/ without LLB with 4 5 years' experience of MF Industry is essential.

  • Delhi, Delhi, India Nippon India Mutual Fund Full time

    Location: Mumbai Corporate OfficeDepartment: Legal, Secretarial & ComplianceGrade: IL 5 Organizational relationships Reports to: AVP Compliance Purpose of the Job: Responsible for managing SEBI mutual fund and PMS compliances and providing assistance for other relevant issuesKey responsibilities:Preparing & submitting statutory reports for Board of AMC,...

  • Compliance Manager

    1 week ago


    Delhi, Delhi, India Flintex Consulting Pte Ltd Full time

    Job DescriptionResponsibilities:We are looking for compliance personnel to assist in enhancing the compliance risk framework of the company.The candidate will help to manage and execute the compliance programs, provide policy guidance and to carry out compliance training for the company's diversified investment business groups.Depending on the candidate's...

  • Sales Manager

    1 week ago


    Delhi, Delhi, India Realty Assistant Full time

    Job Description :Realty Assistantis seeking talented individual to join our team in Noida. We currently have opening for the position of Sales Manager. If you are a motivated, results - oriented professional with a passion for sales and leadership, we want to hear from you.Responsibilities:You will be responsible developing the sales team, coordinating sales...


  • Delhi, Delhi, India Tata Communications Full time

    Tax Compliance ManagerQualifications:Chartered Accountant having 8 plus year of post qualification experience.Extensive experience in leading tax compliance functions for the APAC region, with exposure to international jurisdictions. Strong knowledge of direct and indirect tax laws and regulations. Proven track record in tax audits, negotiations, and...


  • Delhi, Delhi, India timesjobs Full time

    Compliance Manager Greetings from Jobingo HR Solutions Pvt. Ltd.This is to inform you currently we Have Urgent Openings for Our Client.Designation: Compliance ManagerNoof Vacancies:1Education: Any Graduate/MBAExperience: 5 to 6 Years ExperienceJob Location: DelhiJob Industry: PPl/FinanceSalary Package: Salary no bar for deserving candidate.Basic Salary: 10L...


  • Delhi, Delhi, India timesjobs Full time

    Compliance Manager Greetings from Jobingo HR Solutions Pvt. Ltd.This is to inform you currently we Have Urgent Openings for Our Client.Designation: Compliance ManagerNoof Vacancies:1Education: Any Graduate/MBAExperience: 5 to 6 Years ExperienceJob Location: DelhiJob Industry: PPl/FinanceSalary Package: Salary no bar for deserving candidate.Basic Salary: 10L...


  • Delhi, Delhi, India timesjobs Full time

    Compliance Manager Greetings from Jobingo HR Solutions Pvt. Ltd.This is to inform you currently we Have Urgent Openings for Our Client.Designation: Compliance ManagerNoof Vacancies:1Education: Any Graduate/MBAExperience: 5 to 6 Years ExperienceJob Location: DelhiJob Industry: PPl/FinanceSalary Package: Salary no bar for deserving candidate.Basic Salary: 10L...


  • Delhi, Delhi, India jobingo hr solution Full time

    Apply for Compliance Manager Finance, Compliance Manager, Career Progress Consultants in Delhi ,Delhi/ NCR ,Jaipur for 5 - 8 Year of Experience on


  • Delhi, Delhi, India jobingo hr solution Full time

    Apply for Compliance Manager Finance, Compliance Manager, Career Progress Consultants in Delhi ,Delhi/ NCR ,Jaipur for 5 - 8 Year of Experience on

  • Compliance Manager

    1 week ago


    Delhi, Delhi, India Three Across Full time

    Job Title:Compliance ManagerJob Summary:The Compliance Manager is responsible for setting up the right structure and governance to ensure that the organization comply with its clients' contractual requirements. This will include the strategy and implementation by driving key qualitative, performance initiatives through the consolidation and development of...

  • Compliance Manager

    1 week ago


    Delhi, Delhi, India Alnafitha IT Full time

    Job DescriptionOverview:The Compliance Manager will be a key member of the Revenue Operations (RevOps) team, responsible for ensuring all processes and activities adhere to regulatory standards and internal policies. This role will have a significant focus on managing commercial contracts, reviewing customer purchase orders (POs), setting guidelines for...

  • compliance manager

    1 week ago


    Delhi, Delhi, India SARVAM HR Solutions Full time

    Job OpportunityCOMPLIANCE MANAGERLocation: MysuruQualification: Bachelor's Degree in LawResponsibilities:Develop and oversee control systems to prevent or deal with violations of legal guidelines and internal policies.Evaluate the efficiency of controls and improve them continuously.Revise procedures, reports etc. periodically to identify hidden risks or...


  • Delhi, Delhi, India timesjobs Full time

    ResponsibilitiesTaking care of all compliances such as RBI Circulars, provisions of PSA, 2007 (including rules made thereunder), PMLA, 2002 (including rules made thereunder) related to PPI businessAnalysis of all transactions related to PPI business and filing of STRs with FIU as and when requiredLiaison with RBI, Financial Intelligence Unit India (FIU-IND),...


  • Delhi, Delhi, India timesjobs Full time

    ResponsibilitiesTaking care of all compliances such as RBI Circulars, provisions of PSA, 2007 (including rules made thereunder), PMLA, 2002 (including rules made thereunder) related to PPI businessAnalysis of all transactions related to PPI business and filing of STRs with FIU as and when requiredLiaison with RBI, Financial Intelligence Unit India (FIU-IND),...


  • Delhi, Delhi, India The British School Full time

    Reports to:Compliance Manager School Hours****7:45 a.m. to 4:30 p.m.Role: To assist the Compliance function and ensure implementation of a robust compliance framework formanaging organisation wide compliances in a proactive manner. Continuous tracking and monitoring ofcompliance reporting across departments, through an automated compliance software.***Key...


  • Delhi, Delhi, India R K SWAMY Limited (Formerly R K Swamy Private Limited) Full time

    This position holds a pivotal role in handling and overseeing the Compensation and benefits, Audit and compliance, HR analytics & HR operations functions within the organization for India & International offices.Roles & Responsibilities:Compensation & Benefits Administration:100% accuracy in payroll calculation and adherence to timelines.with Payroll...

  • Compliance Manager

    1 week ago


    Delhi, Delhi, India Uni Application Portal (UAP) Full time

    Job Title: Compliance ManagerLocation: Delhi, IndiaOrganisation: Uni Application Portal (UAP)Position Overview:We're on the lookout for a versatile Compliance Manager to join our dynamic team. This key role ensures that UAP follows all rules and regulations while handling application and admission processes smoothly. The Compliance Manager will be the main...

  • Compliance Analyst

    1 week ago


    Delhi, Delhi, India Canadian Solar Inc. Full time

    KEY RESPONSIBILITIES: Maintain our comprehensive compliance program and related projects Perform ABAC and KYC due diligence on (potential) suppliers and customers and the necessary risk assessments Ensure that an organization's operations and procedures meet government and industry compliance standards Research regulations and policies, communicate...


  • Delhi, Delhi, India Graviton Research Capital LLP Full time

    We are seeking a skilledCompliance Executiveto join our team. The ideal candidate will have 4 to 6 years of experience, preferably with an MBA in Finance. The Compliance Executive will be responsible for ensuring compliance with regulatory requirements and internal policies. This role involves daily compliance tasks, documentation, system audits, cyber...


  • Delhi, Delhi, India ICICI Lombard Full time

    Urgent Opening for Legal Compliance Manager in ICICI Lombard.Interested candidates may apply by sending their updated resumes to with subject line as 'Legal Compliance Manager' along with the following details mentioned in the mail body:CurrentCTC:Expectation :total Experience:Notice Period:Please confirm below JDCompliance Job Title:Legal Compliance...