Associate Compliance-regulatory Relationship

1 week ago


Mumbai Maharashtra, India IDFC FIRST Bank Full time

**Job Title**:
Associate Compliance

**Function/ Department**:
Compliance

**Job Purpose**:
The role entails the responsibility to support Compliance Manager in ensuring bank's policies and procedures comply with regulatory and ethical standards.

**Roles & Responsibilities**:
Support all business operations relating to compliance including policies, investments, and procedures

Monitor control systems to deal with violations of legal rules and internal policies

Regularly assess the efficiency of control systems and recommend effective improvements

Assist in performing periodic audits on company procedures and processes, maintain and organize compliance records

Implement compliance checklists, manuals and other regulatory documentation

Prepare compliance reports by collecting, analyzing, and summarizing information

Keep other departments abreast of requirements by researching regulatory and filing information; writing and communicating guidelines

Support investigations when possible non-compliance takes place within the bank

Facilitate employee training sessions on legal and compliance issues

Respond to all compliance queries, maintain effective relationships with other departments

Leverage in-house synergies through collaboration with internal stakeholders

Keep abreast of regulatory developments within or outside of the bank as well as evolving best practices in compliance control

**Educational Qualifications**:
**Graduation**: Any Graduation

**Experience**:
Minimum of 3+ Years in Compliance


  • Compliance Associate

    2 weeks ago


    Mumbai, Maharashtra, India TIAA Full time

    Compliance Associate The Compliance Advisor assists with broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. Working independently under general...

  • Compliance Associate

    2 weeks ago


    Mumbai, India TIAA Full time

    Compliance AssociateThe Compliance Advisor assists with broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. Working independently under general supervision,...

  • Compliance Associate

    2 weeks ago


    mumbai, India TIAA Full time

    Compliance Associate The Compliance Advisor assists with broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. Working independently under general...


  • Mumbai, India TIAA Full time

    Compliance Associate The Compliance Advisor assists with broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. Working independently under general...


  • Goregaon, Mumbai, Maharashtra, India Zivira Labs Private Limited Full time

    _**Regulatory Affairs Associate**_ As regulatory affairs associate you'll be the crucial link between the company, its products and regulatory authorities. You'll combine your knowledge of scientific, legal and business issues to ensure products, which are developed or manufactured, meet the required legislation. **Products include**: - Pharmaceuticals -...

  • Compliance Associate

    3 weeks ago


    Mumbai, Maharashtra, India TIAA Full time

    Associate - Compliance (Marketing Review) The Research and Marketing materials Quality Associate is an integral role that will perform monitoring and periodic spot checks in accordance with defined standards and stated requirements, and will assist in review, create Fact sheets and marketing materials ensuring compliance with local regulatory...


  • Mumbai, Maharashtra, India TIAA Full time

    Compliance Associate The Compliance Advisor assists with broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. Working independently under general...


  • Mumbai, Maharashtra, India TIAA Full time

    Compliance Associate The Compliance Advisor assists with broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. Working independently under general...


  • Mumbai, Maharashtra, India Zama Organics Full time

    **Company Overview**: Zama Organics is a leading player in the food industry, dedicated to providing high-quality culinary products and services to our customers. As we continue to expand our operations, we are seeking a talented and detail-oriented Accounts/Sales Associate to manage receivables and ensure compliance with regulatory requirements, including...


  • Mumbai, Maharashtra, India TIAA Full time

    Compliance Associate The Compliance Advisor assists with broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. Working independently under general...


  • Mumbai, India IDFC FIRST Bank Full time

    **Role/ Job Title**: Associate Compliance **Function/ Department**: Compliance **Location**: - Mumbai **Job Purpose**: The role entails the responsibility to support compliance manager in ensuring bank's policies and procedures comply with regulatory and ethical standards. **Primary Responsibilities**: Support all business operations relating to...

  • Compliance Associate

    2 weeks ago


    Mumbai, Maharashtra, India Nuveen Full time

    Compliance AssociateThe Compliance Advisor assists with broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. Working independently under general supervision,...


  • Mumbai, Maharashtra, India Dork Ketal Full time

    To oversee statutory compliances, government liaison, and local community relations for our manufacturing facility in Gujarat & Maharashtra. The person would be responsible for ensuring that our operations are compliant with all applicable laws and regulations, while also building positive relationships with government officials and the local...


  • Mumbai, Maharashtra, India Dork Ketal Full time

    To oversee statutory compliances, government liaison, and local community relations for our manufacturing facility in Gujarat & Maharashtra. The person would be responsible for ensuring that our operations are compliant with all applicable laws and regulations, while also building positive relationships with government officials and the local...


  • Mumbai, Maharashtra, India IDFC FIRST Bank Full time

    Role/ Job Title:Associate ComplianceFunction/ Department: ComplianceLocation:MumbaiJob Purpose:The role entails the responsibility to support compliance manager in ensuring bank's policies and procedures comply with regulatory and ethical standards.Primary Responsibilities:Support all business operations relating to compliance including policies,...


  • Mumbai, Maharashtra, India BlackRock Full time

    Description About this role Are you a fund accounting professional searching for an enriching, multifaceted opportunity with the world's largest asset manager? Do you pride yourself on building positive relationships and bringing strategic visions to fruition? Then look no further! BlackRock is pursuing an Associate to join our group! We are seeking a...

  • Associate, Compliance

    2 weeks ago


    Mumbai, Maharashtra, India Ares Management Full time

    Over the last 20 years, Ares’ success has been driven by our people and our culture. Today, our team is guided by our core values - Collaborative, Responsible, Entrepreneurial, Self-Aware, Trustworthy - and our purpose to be a catalyst for shared prosperity and a better future. Through our recruitment, career development and employee-focused programming,...

  • Sanctions Compliance

    3 weeks ago


    Mumbai, Maharashtra, India TIAA Full time

    Compliance Associate The Compliance Advisor assists with broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. Working independently under general...


  • Mumbai, Maharashtra, India TIAA Full time

    Associate - Compliance (Marketing Review)The Research and Marketing materials Quality Associate is an integral role that will perform monitoring and periodic spot checks in accordance with defined standards and stated requirements, and will assist in review, create Fact sheets and marketing materials ensuring compliance with local regulatory...


  • mumbai, India Riverforest Connections Private Limited Full time

    Position Purpose The Head of the Regulatory Desk in Compliance supports the Territory Chief Compliance Officer on ensuring local regulatory requirements are met, including   Partnership with Business & Compliance Domain Heads : Partner and collaborating closely with the Compliance Domain Heads to provide SME support on regulatory topics related...