Compliance Officer

Compliance OfficerRoles and Responsibilities :Monitoring : The compliance officer monitors the firm's day-to-day compliance with stock exchanges and depositories. They also monitor the compliance of KYC and AML & PMLA guidelines.Responding to notices :The compliance officer responds to surveillance notices, show cause notices, and adjudicating orders from...

We are seeking a highly skilled and experienced Compliance Officer to join our team. The Compliance Officer will be responsible for ensuring that our company complies with all relevant laws, regulations, and guidelines issued by SEBI, RBI, exchanges, and other regulatory authorities.Roles and Responsibilities:Knowledge: - SEBI regulations and guidelines,...

Job Title: Compliance Officer (with NBFC Experience only)Location: Mumbai, IndiaReporting To: Chief Executive Officer / Head of ComplianceDepartment: Compliance Job Summary:We are seeking a highly skilled and detail-oriented Compliance Officer to lead the identification, assessment, and mitigation of risks, and to ensure full compliance with applicable laws,...

We're Hiring – Compliance Officer (RTA Services)Location:Mumbai | Full-Time | 5 Days | Work from Office (WFO)Are you a compliance professional with strong knowledge of SEBI regulations (AIF/PMS) and experience in RTA operations? Join a dynamic team where your expertise in financial compliance and regulatory frameworks will make a direct impact.Key...

Looking for a Compliance Officer for a Stock Broking Firm based in Mumbai.Key Responsibilities:1. Regulatory Compliance:Ensure full compliance with SEBI regulations, stock exchange rules, and other applicable laws governing the stock broking business.Regularly monitor and review changes in SEBI guidelines and circulars, and implement necessary updates in...

Position Name - Compliance Officer - PMSLocation - BKC,MumbaiExperience Range - 5+ yrsMandatory Requirement:Manage Compliance aspects of Portfolio Management Services.Job Roles and Responsibilities:Ensure compliance with SEBI (Portfolio Managers) Regulations, 2020, and other applicable laws.Monitor and implement changes in SEBI circulars, PMS regulatory...

Job Title: Compliance Officer – AIF/PMSLocation: Mumbai (Andheri)Experience Required: 6–10 yearsAbout the Role:We are looking for an experienced Compliance Officer to manage and oversee compliance for our Alternative Investment Fund (AIF) and Portfolio Management Services (PMS) business. The role involves ensuring adherence to SEBI regulations, internal...

Role & responsibilitiesRegulatory Reporting: Assist in preparing and submitting compliance reports to RBI and other regulatory bodies.Policy Support: Help in the drafting and updating of all policies and procedures in accordance with regulatory updates.Compliance Monitoring: Assist in monitoring day-to-day business operations to ensure compliance with legal...

This role is for one of the Weekday's clientsSalary range: Rs Rs ie INR 12-20 LPA)Min Experience: 5 yearsLocation: MumbaiJobType: full-timeWe are seeking an experienced professional to manage and oversee compliance activities under SEBI AIF and PMS Regulations. The ideal candidate will be responsible for ensuring end-to-end regulatory adherence, handling...

Role overview - IRDA Compliance:"The IRDA Compliance Officer is responsible for ensuring that the organization fully complies with all regulatory requirements laid down by the Insurance Regulatory and Development Authority of India (IRDAI). The role involves monitoring regulatory updates, preparing mandatory reports, coordinating audits, and ensuring...