Director- Legal and Compliance
2 weeks ago
Job Description Role : Director- Legal and Compliance Location : Mumbai Experience : 10 to 12 years Qualification : LLB,CS Job Description : Execute risk-based compliance testing to review and assess the effectiveness of the Firm's policies and procedures including recommending corrective action plans for gaps identified from testing. Execution of reviews from initiation to completion including executing and documenting detailed walkthroughs of key processes to identify internal controls, developing, executing, and overseeing substantive testing of control and related procedures, and ultimately reporting identified issues. Communicating with Business Unit(s) and Compliance Coverage (as required) during various stages of review. Prepare written reports describing the tests conducted, results and corrective action plans. Coordinate with Compliance testing personnel to track the progress of the test plan for reporting to senior management. Track status of corrective action plans agreed upon with the business. Track internal audit reviews and findings and review internal audit work-papers to identify opportunities to leverage their reviews for compliance testing. Remain current on industry rules, regulations, and best practices to make recommendations to the testing program. Developing and maintaining strong working relationships with Business, Compliance, Legal and Risk groups Presentation of findings and recommendations to Compliance Managers in the Regional Compliance Testing Teams Understanding of SEC Rule 206(4)-7 to undertake procedural checks for IM business
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Compliance Director
1 day ago
Mumbai, India Dept Data Full timeCompliance Director We are seeking an experienced Compliance Director to lead and oversee our organization's compliance program, ensuring adherence to legal standards and internal policies. The ideal candidate will have a strong background in regulatory requirements, risk management, and corporate governance. Responsibilities Develop, implement, and maintain...
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Legal and Compliance
3 days ago
Mumbai, Maharashtra, India Yugn Full time**Function: Legal & Compliance** **Designation: Asst. Manager / Manager - Legal & Compliance Experience**: **Location: Mumbai** **Reports To: Dept. Head** **Roles & Responsibilities**: - Liaising with the business teams for end-to-end implementation of various regulatory requirements. - Develop, maintain and update regulatory inventory repository of IRDA...
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Legal and Compliance
3 days ago
Mumbai, Maharashtra, India Yugn Full time**Function: Legal & Compliance** **Designation: Asst. Manager / Manager - Legal & Compliance Experience: 8 - 10 years** **Location: Mumbai** **Reports To: Dept. Head** **Roles & Responsibilities**: - Liaising with the business teams for end-to-end implementation of various regulatory requirements. - Develop, maintain and update regulatory inventory...
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Legal Associate
2 days ago
Mumbai, India SRK Legal Full timeDESCRIPTIONSRK Legal is a premier and dynamic law firm based in Mumbai, India, led by renowned Supreme Court and High Court lawyer Advocate Sana Raees Khan . The firm is widely recognized for its exceptional expertise in handling high-profile matters before the Supreme Court of India and various High Courts across the country, primarily the...
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Legal Associate
1 day ago
Mumbai, India SRK Legal Full timeDESCRIPTIONSRK Legal is a premier and dynamic law firm based in Mumbai, India, led by renowned Supreme Court and High Court lawyer Advocate Sana Raees Khan . The firm is widely recognized for its exceptional expertise in handling high-profile matters before the Supreme Court of India and various High Courts across the country, primarily the...
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Legal Associate
4 days ago
Mumbai, India SRK Legal Full timeDESCRIPTIONSRK Legal is a premier and dynamic law firm based in Mumbai, India, led by renowned Supreme Court and High Court lawyer Advocate Sana Raees Khan. The firm is widely recognized for its exceptional expertise in handling high-profile matters before the Supreme Court of India and various High Courts across the country, primarily the Bombay High Court....
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Legal Associate
4 days ago
Mumbai, India SRK Legal Full timeDESCRIPTIONSRK Legal is a premier and dynamic law firm based in Mumbai, India, led by renowned Supreme Court and High Court lawyer Advocate Sana Raees Khan. The firm is widely recognized for its exceptional expertise in handling high-profile matters before the Supreme Court of India and various High Courts across the country, primarily the Bombay High Court....
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Legal Associate
4 days ago
Mumbai, India SRK Legal Full timeDESCRIPTIONSRK Legal is a premier and dynamic law firm based in Mumbai, India, led by renowned Supreme Court and High Court lawyer Advocate Sana Raees Khan. The firm is widely recognized for its exceptional expertise in handling high-profile matters before the Supreme Court of India and various High Courts across the country, primarily the Bombay High Court....
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Legal Associate
3 days ago
mumbai, India SRK Legal Full timeDESCRIPTIONSRK Legal is a premier and dynamic law firm based in Mumbai, India, led by renowned Supreme Court and High Court lawyer Advocate Sana Raees Khan. The firm is widely recognized for its exceptional expertise in handling high-profile matters before the Supreme Court of India and various High Courts across the country, primarily the Bombay High Court....
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Legal Associate
2 days ago
Mumbai, India SRK Legal Full timeDESCRIPTION SRK Legal is a premier and dynamic law firm based in Mumbai, India, led by renowned Supreme Court and High Court lawyer Advocate Sana Raees Khan . The firm is widely recognized for its exceptional expertise in handling high-profile matters before the Supreme Court of India and various High Courts across the country, primarily the Bombay High...
