Compliance Officer
2 weeks ago
Qualification & Experience :•Graduate & above, MBA/CS (preferred).•Must have Broking / DP Compliance experience.•Minimum 4-5 years of work experience with Stock Broking & DP entity.•NISM III-A Securities Intermediaries Compliance (non-fund) Certified & NISM VI Depository Operations Continuing Professional Education Program.Roles & Responsibilities :•Ensuring & implementing compliances under SEBI (Stockbrokers) Regulations, SEBI (Research Analysts) Regulations, SEBI (Depositories and Participants) Regulations, SEBI (Prohibition of Insider Trading) Regulations, 2015, all other applicable laws & circulars, notification, rules issued thereunder.•Ensuring compliance of Wealth Distribution, RA, DP, Broking, Distribution and all other products that is offered by the company.•Liaising with exchange, depositories & Auditors for all matters.•Ensuring periodic & instance based operational reporting/filing relating to Exchange, Depository, FATCA/CRS etc.•Review & updating of all applicable policies, forms, documents in line with exchange & DP guidelines.•Onboarding of broking/DP clients in line KYC, KRA, CKYC guidelines.•Handling concurrent, internal/systems/cyber security audits etc. and inspections by Exchange, SEBI, CDSL etc.•Drafting, Vetting & executing various commercial/ business contracts and agreements•Handling investor grievance.•Interacting with the Board of Directors as needed.•Any other compliance matters assigned from time to time.•Ability to communicate well at all levels and directly engage with the Board of Directors and Managing Director on all compliance related aspects.
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Compliance Officer
2 weeks ago
Mumbai, India Guidepoint Full time**Overview** The Compliance Department is a collaborative team that proactively supports Guidepoint's global business. The team identifies and addresses areas of risk and advises internal stakeholders on new business initiatives and variations on existing products and conducts compliance training of internal employees. These efforts have created a premier...
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Compliance Officer
17 hours ago
Mumbai, Maharashtra, India SKS Enterpprises - Human Resource Planning and Management Full time ₹ 6,00,000 - ₹ 18,00,000 per yearJob Title:Compliance Officer – AIF/PMSLocation:Mumbai (Andheri)Experience Required:6–7 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...
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Compliance Officer
7 days ago
Mumbai, Maharashtra, India Russell Investments Full time ₹ 12,00,000 - ₹ 24,00,000 per yearBusiness Unit:Compliance, Risk and Internal AuditReporting To:Compliance ManagerShift:EMEA (1:30 pm - 10:30 pm IST) (India)About Russell Investments, Mumbai: Russell Investments is a leading outsourced financial partner and global investment solutions firm providing a wide range of investment capabilities to institutional investors, financial...
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Compliance Officer
1 week ago
Mumbai, India SKS Enterpprises - Human Resource Planning and Management Full timePosition Name - Compliance Officer Location - MumbaiExperience Range - 5 to 8 yearsJob Roles and Responsibilities:The role involves end-to-end responsibility for fund administration, investor servicing, compliance, and coordination with key stakeholders for Indias leading early-stage Angel fund(s).The position requires strong regulatory...
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IT Compliance Officer
2 days ago
Mumbai, India Dept Data Full timeJob Description The IT Compliance Officer is responsible for ensuring that the organization's information technology systems and processes comply with relevant laws, regulations, and internal policies. This role involves assessing risks, implementing compliance programs, conducting audits, and collaborating with various departments to maintain a secure and...
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Compliance Officer
3 days ago
Mumbai, India UBS Full timeIndia - Compliance - Group Functions **Job Reference #** - 257462BR **City** - Mumbai **Job Type** - Full Time **Your role** - Do you have experience in providing compliance or risk advisory services to a business division? Do you enjoy advising and supporting front office colleagues to ensure compliance? Are you confident when it comes to speaking up...
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Compliance Officer
3 days ago
Mumbai, India UBS Full timeIndia - Compliance, Investment Banking - Group Functions **Job Reference #** - 263469BR **City** - Mumbai **Job Type** - Full Time **Your role** - Do you have experience in providing compliance or risk advisory services to a business division? Do you enjoy advising and supporting front office colleagues to ensure compliance? Are you confident when it...
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Compliance Officer
2 weeks ago
Mumbai, Maharashtra, India SMEST Capital Private Limited Full time**TITLE: Compliance Officer** LOCATION**:Mumbai 400052** **JOB SUMMARY**: We are searching for a motivated compliance officer to guarantee that our business processes and transactions follow all relevant legal and. internal guidelines. **ROLES AND RESPONSIBILITIES**: - Responsible for company affairs. - Provide legal and compliance perspectives to the...
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Compliance Officer
1 week ago
Mumbai, Maharashtra, India SKS Enterpprises Full time ₹ 12,00,000 - ₹ 36,00,000 per yearPosition Name - Compliance Officer - PMSLocation - Andheri,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...
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Compliance Officer
2 days ago
mumbai, India Weekday AI Full timeThis 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...
