Compliance Manager

3 weeks ago


Mumbai Maharashtra India, Maharashtra Emkay Global Financial Services Ltd Full time

Job 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 co-ordinating with Regulator for PMS, AIF compliance and queries

• Monitoring ongoing and event-based submissions with RBI and Income Tax (FATCA/CRS, FIRMS, etc)

• Review, Preparation/Up-dation of Private Placement Memorandum and amendments including to Trust Deed, KYC documents/Contribution agreements/ distribution agreements and intimation to regulatory Authorities wherever required.

• Co-ordinate with various service providers/vendors/Forums for various compliance related matters pertaining to AIF and PMS.

• Liasoning with Internal auditors and statutory auditors and effectively handling SEBI inspections; Interact with auditors and other external parties for various regulatory requirements/ other routine regulatory filings/ compliances.

• Co-ordinating with counsels for legal support, opinions and clarifications

• Monitor changes in SEBI regulations, directives, and circulars to ensure that the organisation’s practices and policies remain up-to-date and compliant.

• Liasoning with product and sales team on products and filings Preparation / Up-dation of Private Placement Memorandum and amendments including Trust Deed Review of Application Form, literature, factsheets, communiques and communications Regulatory reporting - Filings monthly / Quarterly report reports, annual CTR.

• Liasoning with product and sales team on products and filings with regulator.

• Conducting and arranging Committee meetings - valuation committee, investment Management committee; also to maintain minutes of all committee meetings.

• Develop, implement, and manage organisational compliance policies and procedures in line with applicable laws, regulations, and industry best practices.

• Review of marketing material and other marketing/sales documents from a regulatory perspective; inclusive of other advertisement literature, factsheets and communications.

• Drafting and vetting various agreements, legal documents, policies, and standard operating procedures.

• Collaborate with internal departments to provide guidance on compliance-related matters.

• Maintain comprehensive and accurate records of compliance activities and documentation, ensuring easy access for internal and external review.

• Co-Jointly work with Group compliance team for compliances relevant to other verticals


Key Skills :-


• Interpersonal / Communication Skills

• Networking and Market Intelligence

• Strong Client Relationship Skills

• Result Orientation

• Collaborative Approach


Functional Competencies:-

• Excellent in MS Office (Word, PowerPoint & Excel)

• Excellent communication skills in English (oral and written)


Qualification:-


• Graduate/Post Graduate with Degree in Law is preferred.

• NISM Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination will be an added advantage.


Experience:-

• Min. 3 -5 years of experience handling the compliance, legal, functions in allied industries (AIF / PMS) having a working knowledge of SEBI AIF & PMS Regulations in particular.


  • Compliance Manager

    4 days ago


    Mumbai, Maharashtra, India TVS Infrastructure Investment Manager Private Limited (TVS IM) Full time ₹ 20,00,000 - ₹ 25,00,000 per year

    Key Responsibilities1. Compliance Framework & GovernanceDevelop and implement a compliance management framework covering applicable laws, regulations, and internal policies.Map statutory and regulatory obligations (SEBI, MCA, RBI, FEMA, Income Tax, Labour, Environment, Trust Regulations, etc.) and maintain a compliance register.Roll out and manage compliance...

  • Compliance Manager

    3 weeks ago


    Mumbai, Maharashtra, India, Maharashtra Godrej Capital Full time

    Job Purpose This role requires a dynamic candidate who shall be pro-active part of second line of defence i.e. compliance function, independently set-up compliance paradigm and work with various stakeholders to ensure compliance culture is ensure.Role · Prepare detailed compliance requirements of various circulars and guidelines issued by the regulators,...


  • Mumbai, Maharashtra, India, Maharashtra Saraswat Bank Full time

    Job Title: Compliance Testing ManagerDepartment: ComplianceLocation: MumbaiReporting To: Senior Compliance Manager Positions : 1Job Purpose:To ensure the bank's operations, products, and services comply with applicable regulatory requirements through structured compliance testing. The role involves planning, executing, and reporting on compliance testing...


  • Mumbai, Maharashtra, India, Maharashtra HDFC securities Full time

    Job Title: IT Compliance ManagerLocation: MumbaiCompany Overview: HDFC Securities is a leading stockbroking company and a subsidiary of HDFC Bank, one of the world’s largest financial services conglomerates. With a strong emphasis on technology and innovation, HDFC Securities offers a diverse range of investment and trading services to retail and...

  • Senior Manager

    2 weeks ago


    Mumbai, Maharashtra, India, Maharashtra Leading NBFC Full time

    Leading NBFC seeking competent candidates for below role in Risk and Compliance.Role SummaryManage communication with NPCI, RBI, and other government/statutory/regulatory bodies, respond to routine queries in a timely mannerEnsure strict adherence to all applicable RBI Master Directions and NPCI OCsConduct compliance testing of products and provide...

  • Manager IT

    3 weeks ago


    Mumbai, Maharashtra, India, Maharashtra SUN PHARMA Full time

    Hi,We are having an opening for Manager/ Senior Manager-Audit & Compliance Specialist at our Mumbai location. Job Summary : The Audit & Compliance Specialist will support the execution of global IT audit and compliance initiatives under the guidance of the Lead Audit & Compliance Specialist. This role is responsible for evidence coordination, audit...

  • Assistant

    1 week ago


    Mumbai, Maharashtra, India Compliance Sathi Full time ₹ 3,00,000 - ₹ 4,50,000 per year

    Company DescriptionCompliance Sathi specializes in a wide variety of services including the formation of companies and LLPs, registration of societies and trusts, annual compliance with XBRL, and corporate law advice. Our practice areas also cover secretarial audits, due diligence, conversions of companies and LLPs, IEPF processes, IPO and listing...

  • Head of Compliance

    3 weeks ago


    Mumbai, Maharashtra, India, Maharashtra Artha Group Full time

    About Artha Group Artha Group is a performance-led investment house managing over ₹1,250 crores (USD 150M+) across five fund platforms including Artha Venture Fund, Artha Select Fund, and Artha Continuum Fund. Our vertically integrated model spans venture capital, renewable energy assets, and global fund-of-fund structures. With 130+ investments and 30+...

  • Compliance Associate

    3 weeks ago


    Mumbai, Maharashtra, India, Maharashtra Haachi Business Solutions Private Limited Full time

    Compliance AssociateRole Type: Full-TimeLocation: Mumbai (BKC)Search Partner: HaachiThe Opportunity: Partner with a Global Market MakerWe are seeking to place a high-impact Compliance Associate with our client—a leading, established proprietary financial firm recognized globally for its expertise in high-frequency trading (HFT) and...

  • Compliance Manager

    1 week ago


    Mumbai, Maharashtra, India Premier Consultants Full time ₹ 12,00,000 - ₹ 36,00,000 per year

    Currently we are hiring Compliance Manager for NBFC Industry.Role: Compliance ManagerLocation: Mumbai Lower ParelIndustry: Banking / Financial ServicesJob Summary:We are looking for an experienced Compliance and Risk Management professional to oversee regulatory adherence and internal control frameworks across business functions. The ideal candidate will be...