
Compliance Officer
1 day ago
Compliance Officer Handling Compliance activities w.r.t Stock Broker and Depository Participant towards SEBI, Stock Exchanges, Depository, KRA, CKYC CERSAI, FIU, IFSCA Compliances, MCA, ROC, GIFT Authority, SEZ Operations and AIF (Alternative Investment Fund Cat-3).
- Regularly Coordinating with Regulators, Auditors, Custodian, Tax Consultants, RTA, Investors, Vendors, Consultants.
- Looking after Daily/ Monthly/ Quarterly/ Half yearly/ Annual compliances of the AIF, Stock Broking, Depository Participant towards regulators including SEBI, IFSCA, Stock Exchanges, CDSL, MCA, Custodian, Fund Accountant, Tax Consultant and Auditors and Investors (Compliance Calendar of Stock Exchanges can be referred to for detailed tasks alongside monthly compliance calendars issued by consultant for AIF).
- Ensuring smooth functioning and conduct of all kinds of Audits, Inspections & Investigations of the organization conducted by SEBI, IFSCA, Exchanges, Depositories etc scheduled on regular or ad-hoc basis.
- Handling Ad hoc queries from the Regulators (SEBI / IFSCA / GIFT Authority), Investigation / Surveillance Divisions of Exchanges / Depository, KRA, CERSAI, CKYC, FIU including Clients / Investors and RMS/Trading/Accounts division of the organization etc.
- Dealing with auditors, inspecting officials, stake holders, vendors, consultants on regular basis.
- In addition to the above roles and responsibilities, the person will also overlooking / supervising / performing daily tasks as mentioned in attached tasks list of Compliance and DP departments
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Compliance Officer
1 week ago
Mumbai, Maharashtra, India beBeecompliance Full time ₹ 60,00,000 - ₹ 1,20,00,000Job Title: Compliance Officer">Our organization is seeking a highly skilled and experienced Compliance Officer to join our team.">The ideal candidate will have a strong background in regulatory compliance, with experience in handling complex regulatory environments and ensuring adherence to regulations.">Main Responsibilities:">Regulatory Compliance: The...
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Compliance Officer
1 week ago
Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 14,99,999 - ₹ 24,99,999Job Title: Compliance Officer">About the Role:We are seeking a highly skilled and experienced Compliance Officer to join our team. As a key member of our organization, you will play a vital role in ensuring that we maintain high standards of compliance and risk management.">Key Responsibilities:
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Compliance Officer
3 days ago
Mumbai, Maharashtra, India Fatakpay Digital Full time US$ 80,000 - US$ 1,20,000 per yearThe Audit and Compliance officer will be responsible for overseeing and managing the internal audit and compliance functions within the organization.This role requires a thorough understanding of the regulatory environment, strong analytical skills, and the ability to develop and implement effective audit and compliance programs.
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Compliance Officer
3 days ago
Mumbai, Maharashtra, India Antal International Full timeJob Description Department: Compliance Role & Responsibilities: The Compliance assistant assist the Head-Compliance/CCO in performing his/her compliance related responsibilities. He/ she shall primarily focus on compliance related activities. Monitoring compliance of the Bank's internal policies and fair practices codes Vetting/disseminating regulatory...
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Compliance Officer
6 days ago
Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 9,00,000 - ₹ 12,10,000Job Title: Compliance OfficerAbout the Role:We are seeking a highly skilled and experienced Compliance Officer to join our team.The ideal candidate will have a strong understanding of corporate ethics frameworks, regulatory compliance, and case management.Key Responsibilities:Review investigation reports for accuracy and completeness, ensuring all necessary...
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Compliance Officer
3 days ago
Mumbai, Maharashtra, India SKS Enterpprises - Human Resource Planning and Management Full time ₹ 9,00,000 - ₹ 12,00,000 per yearJob Title: Compliance Officer - Fund Administration Location: GIFT City, Gandhinagar Experience: 4-7 years Industry: Fund Administration / Financial Services / AIFs / IFSC Job Description: We are seeking a detail-oriented and experienced Compliance Officer to oversee and manage regulatory compliance for our fund administration operations at GIFT City. The...
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Compliance Officer
1 day ago
Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 18,00,000 - ₹ 25,00,000Job Title: Compliance Officer">"Our organization is seeking a highly skilled and experienced Compliance Officer to join our team. The ideal candidate will have strong analytical, organizational, and interpersonal skills, with the ability to manage and handle tasks independently.">">The successful candidate will be responsible for assisting in routine...
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Compliance Officer
4 days ago
Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 1,04,000 - ₹ 1,30,878Job DescriptionWe are seeking a highly skilled Compliance Officer to join our team. The ideal candidate will have extensive experience in financial services and institutions, with a strong background in corporate compliance policies and monitoring.Key ResponsibilitiesQualification: Bachelor's Degree or equivalent, and MBA in Finance.2-4 years of experience...
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Compliance Officer
4 weeks ago
Mumbai, Maharashtra, India Neo Wealth and Asset Management Full timePosition: Compliance Officer (Proprietary Trading Desk)Job Overview:We are looking for a proactive and detail-oriented Compliance Officer to oversee regulatory, risk, and exchange compliance across our broking operations and proprietary trading desk, including algorithmic trading activities. This role demands close coordination with trading, risk, and...
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Compliance Officer
2 days ago
Mumbai, Maharashtra, India 4S Advisory Full time ₹ 15,00,000 - ₹ 20,00,000 per yearAbout the job:Exciting opportunity to join a top performing private equity firm as a Compliance Officer.The Compliance Officer will play a critical role in ensuring that our firm and its funds adhere to all relevant laws, regulations, and internal policies.The ideal candidate will have a strong understanding of regulatory environment and a commitment to...