Compliance Office

4 weeks ago

Mumbai Maharashtra, India Gretex Corporate Services Ltd Full time

Summary As a Compliance Officer you will play a pivotal role in safeguarding the integrity and reputation of our financial services organization by ensuring strict adherence to global and local regulatory standards Reporting to the Head of Compliance or Compliance Manager you will be instrumental in shaping and reinforcing a proactive compliance culture across all business units With 8 years of progressive experience in financial services compliance you will lead the development and execution of robust compliance frameworks drive audit readiness and serve as a trusted advisor on regulatory matters Your expertise in key regulatory regimes including AML CFT KYC MiFID II GDPR and local financial regulations will directly contribute to minimising legal financial and reputational risks This role is central to our commitment to governance excellence operational resilience and sustainable growth Responsibilities Monitor and interpret evolving regulatory developments from global and local authorities e g SEC FINRA FCA CFTC local central banks Conduct regular compliance risk assessments and maintain a dynamic risk register across business lines Design implement and oversee internal compliance policies procedures and controls aligned with regulatory expectations Lead the preparation and timely submission of regulatory reports and filings with accuracy and precision Collaborate with legal audit and internal control teams to ensure cohesive compliance strategies and alignment Deliver targeted compliance training and awareness initiatives to employees at all levels Investigate and escalate potential compliance breaches or red flags ensuring thorough documentation and effective remediation Provide comprehensive support during internal and external audits including evidence submission response drafting and corrective action planning Maintain and enhance compliance monitoring systems and automated tools to improve efficiency and data accuracy Act as the primary internal liaison during regulatory examinations or inquiries ensuring clear and timely communication Requirements Requirements Bachelor s degree in Finance Law Business Administration or a related field CFA CPCU or other relevant certifications are highly desirable Minimum of 8 years of progressive experience in compliance within the financial services sector including investment banking asset management or wealth management Expertise in major regulatory frameworks such as AML CFT KYC Sanctions Screening MiFID II Dodd-Frank SOX and GDPR Proven track record in building compliance frameworks risk assessment methodologies and internal control systems Strong analytical problem-solving and attention-to-detail skills with the ability to manage multiple priorities under pressure Exceptional written and verbal communication abilities including drafting policies reports and regulatory submissions Proficiency in compliance management systems CMS MS Office Suite and data analysis tools Demonstrated ability to work independently and collaboratively across cross-functional teams Willingness to travel occasionally for audits meetings or training sessions Experience in a regulated environment with exposure to regulatory examinations and enforcement actions

  • Compliance Officer

    3 weeks ago

    Mumbai, Maharashtra, India, Maharashtra Intellectual Capital HR Consulting Pvt. Ltd. Full time

    Compliance OfficerRoles and Responsibilities :Monitoring : The compliance officer monitors the firm's day-to-day compliance with stock exchanges and depositories. They also monitor the compliance of KYC and AML & PMLA guidelines.Responding to notices :The compliance officer responds to surveillance notices, show cause notices, and adjudicating orders from...

  • Compliance Officer

    5 days ago

    Mumbai, Maharashtra, India Equirus Full time

    **About Equirus** **About Equirus Wealth** **Equirus** is a leading mid‐market investment bank with strong practices around M&A, PE, Capital Markets, Institutional Equities, Wealth Management, Insurance Broking, and Portfolio Management Services. **Equirus Wealth** is a holistic Wealth Management platform founded in 2018 by a passionate group of...

  • Urgent Hiring for Cs

    2 weeks ago

    Andheri, Mumbai, Maharashtra, India K Sera Sera Box Office Pvt Limited Full time

    Urgent Hiring For Company Secretary and Compliance Officer at Andheri. Job Location : Andheri (W). Experience Required : 10 to 12 years Salary : 70,000/- to 1,00,000/- per month Your detailed scope of work as Company Secretary and Compliance Officer of the company shall include: 1. Carrying out Compliances relating activities pursuant to Listing...

  • Compliance Officer

    22 hours ago

    Mumbai, Maharashtra, India Theorynine Technologies pvt ltd Full time

    **Urgent Requirement for the post of Compliance Officer** ** Exp - 2 Years** ** Location: Goregaon Mumbai** **Education - Commerce graduates doing compliance related work** **1. Knowledge of compliances applicable for the BFSI sector (SEBI, RBI, IRDAI, PFRDA) Analyze, prepare the gist and implications of regulatory communication and broadcast it...

  • Compliance Officer

    2 weeks ago

    Mumbai, Maharashtra, India Worldline Full time

    Job Description - Compliance Officer **About Worldline** Worldline helps businesses of all shapes and sizes to accelerate their growth journey - quickly, simply, and securely. We are the innovators at the heart of the payments technology industry, shaping how the world pays and gets paid. Our technology powers the growth of millions of businesses across 5...

  • Compliance Officer

    2 weeks ago

    Mumbai, Maharashtra, India Olives Suppliers and Marketers Full time

    Job Title: Compliance Officer **Job Description**: - **Resolving New Queries**: Efficiently address and resolve any new compliance-related queries that arise. - **Follow-up on Pending Queries**: Monitor and follow up on pending compliance queries to ensure timely updates and resolutions. - **Dispute Resolution**: Collaborate with advocates to consult on...

  • Compliance Officer

    2 weeks ago

    Mumbai, India Intellectual Capital HR Consulting Pvt. Ltd. Full time

    Compliance Officer Roles and Responsibilities : Monitoring : The compliance officer monitors the firm's day-to-day compliance with stock exchanges and depositories. They also monitor the compliance of KYC and AML & PMLA guidelines. Responding to notices :The compliance officer responds to surveillance notices, show cause notices, and adjudicating orders from...

  • Compliance Officer

    3 weeks ago

    Mumbai, India Intellectual Capital HR Consulting Pvt. Ltd. Full time

    Compliance Officer Roles and Responsibilities : Monitoring : The compliance officer monitors the firm's day-to-day compliance with stock exchanges and depositories. They also monitor the compliance of KYC and AML & PMLA guidelines. Responding to notices :The compliance officer responds to surveillance notices, show cause notices, and adjudicating orders from...

  • Compliance Officer

    3 weeks ago

    Mumbai, India Intellectual Capital HR Consulting Pvt. Ltd. Full time

    Compliance Officer Roles and Responsibilities : - Monitoring : The compliance officer monitors the firm's day-to-day compliance with stock exchanges and depositories. They also monitor the compliance of KYC and AML & PMLA guidelines. - Responding to notices :The compliance officer responds to surveillance notices, show cause notices, and adjudicating orders...

  • Compliance Officer

    3 weeks ago

    Mumbai, India Intellectual Capital HR Consulting Pvt. Ltd. Full time

    Compliance OfficerRoles and Responsibilities :Monitoring : The compliance officer monitors the firm‘s day-to-day compliance with stock exchanges and depositories. They also monitor the compliance of KYC and AML & PMLA guidelines.Responding to notices :The compliance officer responds to surveillance notices, show cause notices, and adjudicating orders from...