
Compliance Officer
4 weeks ago
This role is for one of Weekday s clients Min Experience 4 years Location Mumbai JobType full-time Requirements We are seeking a dedicated and detail-oriented Compliance Officer with at least 4 years of experience in the financial services industry with a strong focus on Regulatory Investment Advisory RIA Non-Discretionary ND portfolio management Distribution and Investment Advisory compliance functions The role involves ensuring that all business operations advisory services and client interactions are conducted in full compliance with applicable laws rules and regulations while safeguarding the organization s reputation and mitigating risk This position requires a professional with a deep understanding of compliance frameworks SEBI AMFI regulations and investment advisory guidelines combined with the ability to guide internal teams and provide actionable insights to ensure adherence across all functions Key Responsibilities Regulatory Compliance Oversight Oversee compliance for RIA Distribution and Non-Discretionary ND investment advisory services Ensure all regulatory submissions filings and disclosures are completed accurately and within prescribed timelines Review and update compliance manuals policies and internal frameworks to align with evolving regulations Monitor business activities to ensure compliance with SEBI AMFI and other relevant regulatory authorities Advisory Transaction Monitoring Ensure all advisory distribution and ND transactions comply with regulatory standards and internal policies Conduct periodic checks on investment recommendations execution processes and reporting structures Provide compliance guidance on the structuring and distribution of financial products Audit Inspection Reporting Coordinate and manage internal and external audits ensuring timely closure of observations Maintain complete documentation and audit trails of compliance activities for regulatory inspections Prepare periodic compliance reports for senior management and regulators Training Policy Implementation Conduct compliance training sessions for teams ensuring awareness of regulatory changes insider trading rules AML requirements and investment advisory standards Ensure all employees adhere to compliance standards and report breaches or potential risks promptly Stakeholder Regulator Liaison Serve as the key point of contact with regulators auditors and legal advisors Address regulatory queries and support the firm s response to inspections and compliance reviews Collaborate with internal teams including sales advisory product operations and legal to ensure compliance alignment Risk Management Identify potential compliance risks related to investment advisory ND transactions and distribution activities Implement preventive measures to reduce regulatory operational and reputational risks Escalate non-compliance issues to management with recommended corrective actions Skills Qualifications 4 years of compliance experience in financial services wealth management or investment advisory firms Strong knowledge of RIA regulations ND compliance frameworks distribution rules and investment advisory standards Solid understanding of SEBI AMFI and other regulatory requirements Experience in policy drafting compliance audits and regulatory filings Excellent communication skills to interact with regulators auditors and internal stakeholders Strong analytical problem-solving and risk management skills Proficiency in compliance and reporting tools familiarity with legal documentation and regulatory systems Graduate Postgraduate in Law Finance or related fields A Company Secretary CS or compliance certification is a plus
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Compliance Officer
4 days ago
Mumbai, Maharashtra, India CSAPL Full timeob 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...
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Compliance Officer
2 weeks ago
Mumbai, Maharashtra, India SMEST Capital Private Limited Full time**TITLE: Compliance Officer** LOCATION**:Mumbai 400052** **JOB SUMMARY**: We are searching for a motivated compliance officer to guarantee that our business processes and transactions follow all relevant legal and. internal guidelines. **ROLES AND RESPONSIBILITIES**: - Responsible for company affairs. - Provide legal and compliance perspectives to the...
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Compliance Officer
15 hours 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...
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Compliance Officer
6 days 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...
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Compliance Officer
4 days ago
Mumbai, Maharashtra, India Worldline Full time**Compliance Officer (F/M)** **About Organisation**: At Worldline, our technology addresses persistent challenges of the payment world. We’ve established ourselves as a leading developer of creative software solutions for enabling the cashless society. If you are an authoritative Delivery Manager, then get ready to join our company. We have many...
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Compliance Officer
4 days ago
Sitabuldi, Nagpur, Maharashtra, India Ashish NX Full time ₹ 2,40,000 - ₹ 3,60,000 per yearAshiesh Nx Pvt Ltd is hiring Compliance OfficerLocation: NagpurJob Type: Full-timeJob Description:We are seeking a detail-oriented and proactive Compliance Officer to ensure that our company's operations and business processes comply with all legal and regulatory requirements. The role will also support in maintaining statutory records, monitoring internal...
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Compliance Officer
6 days ago
Pune, Maharashtra, India JLL Full timeJLL supports the Whole You, personally and professionally. Compliance Officer JLL **What this job involves**: As a Compliance Officer-Operation at JLL, you'll play a crucial role in ensuring our operations align with the Contract Labor (Regulation and Abolition) Act (CLRA) and other relevant regulations. You'll be at the forefront of shaping a brighter way...
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Legal and Compliance Officer
2 weeks ago
Mumbai, Maharashtra, India TECHPAYLOGIC TECHNOLOGIES PRIVATE LIMITED Full time**Company**: TechPayLogic Technologies Private Limited **Contact Number**:+91 8484853305 **Address**:Samruddhi Business Square, 3rd Floor Flat No 302, Near Jalsa Lawns, Ashok Road, Nasik, Maharashtra, 422011 **Position: Accountant** **Experience: 2-3 years** **Job Location: Nashik / Mumbai** **About Us**: TechPayLogic Technologies Private Limited is a...
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Compliance Officer
6 days ago
Mumbai, Maharashtra, India, Maharashtra SKS Enterpprises - Human Resource Planning and Management Full timeJob 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...
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Legal & Compliance Officer
2 weeks ago
Andheri, Mumbai, Maharashtra, India Quantsapp Private Limited Full time**Job Title: Legal & Compliance Officer** **Department**: Legal & Compliance **Position Type**: Full-Time (On Site) **About Quantsapp** For more details about our company, the link is provided below: **Job Overview**: The Legal & Compliance Officer is responsible for overseeing and managing the company’s legal and regulatory compliance functions. This...