Compliance Officer

14 hours ago

Mumbai, India SKS Enterpprises - Human Resource Planning and Management Full time

Position Name - Compliance Officer Location - Mumbai Experience Range - 5 to 8 years Job 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 understanding, financial acumen, and client-facing capability to support fund operations and governance. - Coordinate with Custodian, RTA, Fund Accountant, and banks for fund-related operations. - Manage account opening (bank/demat) with custodians and ensure timely fund movement. - Handle documentation for AIF/PMS investor onboarding and fund operations. - Prepare and manage corporate actions, dematerialization of units, and investor records. - Portfolio valuation, NAV computation, and cashflow preparation. - Manage month-end Management Fee booking and ensure accurate accounting treatment. - Prepare and circulate MIS reports to Founders/Management on fund performance and cash positions. - Prepare and review compliance and regulatory reports to SEBI, Trustees, and Investors. - Ensure adherence to SEBI AIF Regulations, RBI Regulations, PMLA, and other applicable laws. - Draft and update policies, procedures, and internal control SOPs in line with regulatory changes. - Prepare compliance test reports, quarterly filings, and ensure timely submissions. - Maintain documentation for Board and Committee meetings, minutes, and governance records. - Interface with auditors, legal counsel, and regulators on compliance/audit matters. - Monitor investment limits and ensure periodic review of portfolio-level compliance. Qualification and Experience: - Chartered Accountant (CA) / Company Secretary (CS) / MBA Finance with 5–8 years of experience in AIF/PMS fund administration and compliance. - NISM XIX C or XIX D certification. - Strong understanding of SEBI AIF Regulations, fund accounting, and investor reporting. - Proficiency in MS Excel and financial analysis; excellent drafting and communication skills. - Strong coordination, stakeholder management, and time management abilities.

  • Compliance Officer

    2 days ago

    Mumbai, India HR Employment Care Full time

    Location: Mumbai **Salary**: 18-25k per month Immediate Joiners Preferred! Responsibilities for Compliance Officer: Need a compliance officer for the Mumbai office. Should be able to understand and reply to queries by SEBI and NSE and BSE Mastermind compliance policies and protocols on behalf of the organization Develop and implement a compliance...

  • Compliance Officer

    3 days ago

    Mumbai, Maharashtra, India SKS Enterpprises - Human Resource Planning and Management Full time ₹ 6,00,000 - ₹ 18,00,000 per year

    Job 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...

  • Compliance Officer

    4 days ago

    Mumbai, Maharashtra, India Generic Engineering Constructions and Project LTD Full time

    **Job Title: Compliance Officer** **Experience**: 5-8 Years **Location**: Head Office - Vidya Vihar **Role Overview** **Key Responsibilities** - Ensure compliance with all applicable **statutory, tax, and labor laws** governing the organization. - Maintain statutory registers, documentation, and records as required under company and labor regulations. -...

  • Compliance Officer

    2 weeks ago

    Mumbai, Maharashtra, India CSAPL Full time

    ob Title: Compliance Officer Company Name - CapitalSquare Financial Services Private Limited Location: Mumbai Reporting To: Compliance Head / Senior Management About the Company: CapitalSquare Financial Services Private Limited is a dynamic trading member registered with the Bombay Stock Exchange (BSE). We specialize in delivering comprehensive trading...

  • IT Compliance Officer

    4 weeks ago

    Mumbai, India 23Dept Full time

    Job 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...

  • IT Compliance Officer

    3 weeks ago

    Mumbai, India 23Dept Full time

    Job 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...

  • Compliance Officer

    3 hours ago

    Andheri, Mumbai, Maharashtra, India Speshally NHS Pvt LTd Full time

    Position: Company Secretary and Compliance Officer (Secretarial & Legal) Location: Mumbai Reports to: Managing Director / Board of Directors Role Overview The Company Secretary, Legal & Compliance Officer will be responsible for ensuring compliance with the provisions of the Companies Act, 2013, SEBI regulations, and all applicable corporate laws. The...

  • Compliance Officer

    7 days ago

    Mumbai, Maharashtra, India SMEST Capital Private Limited Full time

    **TITLE: Compliance Officer [Fresher]** **Must have received their CS Id number** LOCATION**:Mumbai 400052** **JOB SUMMARY**: We are searching for a motivated and experienced compliance officer to guarantee that our business processes and transactions follow all relevant legal and. internal guidelines. **ROLES AND RESPONSIBILITIES**: - Responsible for...

  • Compliance Officer

    4 days ago

    Mumbai, India Consult Hagnos Full time

    Years of Experience: 6-8 years Qualification-: Qualified CS / LLB Work location: Lower Parel CTC - Best in Industry Job Description - Compliance Officer 1. Monitoring of SEBI (LODR) regulations, SEBI (NCS) regulations, Debenture Trustee regulations, Securitized Debt instruments, SEBI (Alternative Investment Fund) regulations, Companies Act, 2013,...

  • Compliance Officer

    7 days ago

    Mumbai, India Anzen Technologies Pvt Ltd Full time

    Opening for Compliance Officer: - Being into IT Services and solutions, we have requirement for the below profiles. Concern person should have minimum years of experience in the same field. Specific: should have knowledge with respect to ISO 270001. Job Location: Mumbai Immediate Joiners are also welcome. Can contact : 8097039829 Schedule: - Day...