Manager - Compliance

2 days ago

Bengaluru, India Zerodha Asset Management Pvt Ltd Full time

ABOUT ZERODHA FUND HOUSE At Zerodha fund house, we are enabling the next generation of Indian investors. We feel mutual funds as a product needs to be reimagined to build simple & relevant investment solutions for the next 10 crore individuals to participate in and grow the capital markets in India. Built by the team behind Zerodha & smallcase, Zerodha fund house brings the principles of simplicity, cost-effectiveness, and transparency to the mutual funds. RESPONSIBILITIES INCLUDE General Compliance Responsibilities Assist in the finalization of reports to be filed with SEBI, AMFI, RBI and the Board of AMC and Trustees. Assist in update of regulatory documents such as SID, KIM, and SAI. Draft notices, addendums, and board communication related to compliance matters. Pre-clearance of all marketing materials and filing the same with the regulator. Assist in update of Compliance Manual and other policies. Provide guidance to business and other teams on various compliance requirements. Conduct compliance risk assessments and provide recommendations for risk mitigation. Research and Regulatory Updates Proactively track and analyze new circulars and directives issued by SEBI and AMFI. Prepare reports on the impact of regulatory changes. Assist in implementing changes required by new guidelines, ensuring seamless compliance. Provide support for research for new initiatives. Compliance Surveillance and Monitoring Conduct reviews to ensure compliance with dealing room practices, insider trading regulations and ethical standards. Analyze transaction/s to identify and report suspicious activities or regulatory breaches. Review of call recordings, emails, and communications. Review of personal transaction/s of employees.      Monitor compliance limit breaches/ alerts. Proactively monitoring to detect and prevent potential breaches of compliance norms/ internal policies. Reporting and Liaison Prepare various compliance related reports and MIS for the team. Liaise with exchange/s on matters related to listed ETFs and other compliance requirements. Coordinate with Internal Auditors, Statutory Auditors, and SEBI Auditors and Assist in handling SEBI inspection. REQUIREMENT Total experience of 5-6 years with minimum 3-4 years of experience of working in the compliance department of Asset Management Company/ Mutual Fund. Graduate/Postgraduate in Law, Finance, or related field; additional certifications (e.g., CS, CA, CFA, or compliance certifications) will be an advantage. Excellent analytical, communication, and stakeholder management skills.

  • Enterprise Account Manager

    1 day ago

    Bengaluru, Karnataka, India Sovos Compliance Full time ₹ 12,00,000 - ₹ 36,00,000 per year

    Build your future with Sovos.If you're seeking a career where innovation meets impact, you've come to the right place. As a global leader, Sovos is transforming tax compliance from a business requirement to a force for growth while revolutionizing how businesses navigate the ever-changing regulatory landscape.At Sovos, we're dedicated to more than just...

  • Global Account Manager

    2 days ago

    Bengaluru, Karnataka, India Sovos Compliance Full time ₹ 5,00,000 - ₹ 20,00,000 per year

    Build your future with Sovos.If you're seeking a career where innovation meets impact, you've come to the right place. As a global leader, Sovos is transforming tax compliance from a business requirement to a force for growth while revolutionizing how businesses navigate the ever-changing regulatory landscape.At Sovos, we're dedicated to more than just...

  • Compliance Manager

    7 days ago

    Bengaluru, Karnataka, India Risa Labs Full time ₹ 12,00,000 - ₹ 36,00,000 per year

    About RISA LabsCancer patients face not just a disease, but a broken system where delays in treatment are common due to outdated, error-prone workflows. RISA Labs is changing that with our Business Operating System as a Service (BOSS) - a powerful platform built for the vertical complexity of healthcare, that transforms healthcare operations. Unlike...

  • Compliance Manager, Global Compliance

    1 week ago

    Bengaluru, Karnataka, India Toast Full time ₹ 6,00,000 - ₹ 12,00,000 per year

    Now, more than ever, the Toast team is committed to our customers. We're taking steps to help restaurants navigate these unprecedented times with technology, resources, and community. Our focus is on building the restaurant platform that helps restaurants adapt, take control, and get back to what they do best: building the businesses they love. And because...

  • Compliance Manager, Global Compliance

    1 week ago

    Bengaluru, Karnataka, India Toast Full time ₹ 8,00,000 - ₹ 12,00,000 per year

    Now, more than ever, the Toast team is committed to our customers. We're taking steps to help restaurants navigate these unprecedented times with technology, resources, and community. Our focus is on building the restaurant platform that helps restaurants adapt, take control, and get back to what they do best: building the businesses they love. And because...

  • Compliance- Asset Management Compliance

    2 weeks ago

    Bengaluru, Karnataka, India Goldman Sachs Full time ₹ 6,00,000 - ₹ 12,00,000 per year

    Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defense, Compliance...

  • Compliance Manager

    2 weeks ago

    Bengaluru, Karnataka, India Vridhi Home Finance Full time ₹ 4,00,000 - ₹ 6,00,000 per year

    Hiring for a Compliance Manager to join the Compliance team.Experience• Preferably 1–2 years in the Legal and Compliance domain within the NBFC sector (HFC experience preferred)• CS/LLB preferredKey Responsibilities• Draft, review, and vet contracts, MSAs, and policies• Address compliance queries from departments and ensure timely statutory...

  • Manage Compliance

    3 days ago

    Bengaluru, Karnataka, India Spes Manning Solutions LLP Full time ₹ 4,00,000 - ₹ 8,00,000 per year

    Manage Compliance - Job Description Manage Compliance Compliance Shifts: EMEA Shift: 1:30 PM - 10:00 PMAsia Shift: 7:00 AM - 4:00 PMGlobal Audit Function: Opportunity for America audit once a year, based on candidate interest.Types of Audit: MDF AuditCustomer AuditCustomer Audit Details: The project supports a 2nd Line Risk & Compliance Function,...

  • IT Compliance Manager

    1 week ago

    Bengaluru, Karnataka, India Fam Full time ₹ 8,00,000 - ₹ 20,00,000 per year

    About Fam (previously FamPay)Fam is India's first payments app for everyone above 11. FamApp helps make online and offline payments through UPI and FamCard. We are on a mission to raise a new, financially aware generation, and drive 250 million+ youngest users in India to kickstart their financial journey super early in their life.Founded in 2019 by IIT...

  • Manager Compliance

    1 week ago

    Bengaluru, India Zepto Full time

    Role : Stakeholder Management/ Problem Solving/Program Management/ Labour Compliances Location: Bengaluru / Mumbai Core Areas: Labour Compliances, Payroll complainces, grievance handling, resolving discrepancy, auditing Qualification: HR vertical and payroll related knowledge Experience: 6-8 years of experience in Human Resources preferably from bulk...