Manager - Compliance
4 days ago
Job Description About Zerodha Fund House At Zerodha fund house, we are enabling the next generation of Indian investors. We feel mutual funds as a product needs to be reimagined to build simple & relevant investment solutions for the next 10 crore individuals to participate in and grow the capital markets in India. Built by the team behind Zerodha & smallcase, Zerodha fund house brings the principles of simplicity, cost-effectiveness, and transparency to the mutual funds. Responsibilities Include General Compliance Responsibilities - Assist in the finalization of reports to be filed with SEBI, AMFI, RBI and the Board of AMC and Trustees. - Assist in update of regulatory documents such as SID, KIM, and SAI. - Draft notices, addendums, and board communication related to compliance matters. - Pre-clearance of all marketing materials and filing the same with the regulator. - Assist in update of Compliance Manual and other policies. - Provide guidance to business and other teams on various compliance requirements. - Conduct compliance risk assessments and provide recommendations for risk mitigation. Research and Regulatory Updates - Proactively track and analyze new circulars and directives issued by SEBI and AMFI. - Prepare reports on the impact of regulatory changes. - Assist in implementing changes required by new guidelines, ensuring seamless compliance. - Provide support for research for new initiatives. Compliance Surveillance and Monitoring - Conduct reviews to ensure compliance with dealing room practices, insider trading regulations and ethical standards. - Analyze transaction/s to identify and report suspicious activities or regulatory breaches. - Review of call recordings, emails, and communications. - Review of personal transaction/s of employees. - Monitor compliance limit breaches/ alerts. - Proactively monitoring to detect and prevent potential breaches of compliance norms/ internal policies. Reporting and Liaison - Prepare various compliance related reports and MIS for the team. - Liaise with exchange/s on matters related to listed ETFs and other compliance requirements. - Coordinate with Internal Auditors, Statutory Auditors, and SEBI Auditors and Assist in handling SEBI inspection. REQUIREMENT - Total experience of 5-6 years with minimum 3-4 years of experience of working in the compliance department of Asset Management Company/ Mutual Fund. - Graduate/Postgraduate in Law, Finance, or related field; additional certifications (e.g., CS, CA, CFA, or compliance certifications) will be an advantage. - Excellent analytical, communication, and stakeholder management skills.
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Manager of Compliance
3 weeks ago
India CSC Full timeJob title: Manager of Compliance Location: Bangalore (EC ph-1) Work Schedule: Hybrid We are looking for a Compliance Specialist to lead a newly formed team based out of India and forming part of our Enterprise Risk Management Team. The new team will be responsible for performing risk & compliance monitoring activities across the enterprise each month. The...
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Manager of Compliance
1 week ago
India CSC Full time ₹ 5,00,000 - ₹ 25,00,000 per yearJob title: Manager of ComplianceLocation: Bangalore (EC ph-1)Work Schedule: HybridWe are looking for a Compliance Specialist to lead a newly formed team based out of India and forming part of our Enterprise Risk Management Team. The new team will be responsible for performing risk & compliance monitoring activities across the enterprise each month.The...
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Compliance Manager
3 weeks ago
india Emkay Global Financial Services Ltd Full timeJob Responsibilities :-• Monitoring of ongoing compliance and reporting as required under SEBI AIF and PMS regulation – Preparation and submission of required monthly, quarterly, annual regulatory/ CTR and other compliance filings, reports, & disclosures to SEBI and other relevant authorities like trustees, custodians, RBI, etc. • Liasoning and...
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▷ Urgent Search: Network Operations Lead
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Manager - Compliance
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Mumbai, India Tata AIA Life Full timeJob Description Role description Position Overview: Position Title Manager - Compliance Department Compliance Level/Band 401 Location Mumbai Reports to Assistant Vice President - Compliance Role Summary: .Provide extensive legal search and evaluating industry benchmark to opine on various business initiatives and legal provisions. .Review...
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Compliance Manager
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Delhi, India, India TAC Security Full timeJob Summary:We are seeking a detail-oriented and proactive Compliance Manager to oversee and manage all aspects of regulatory compliance, internal policies, and industry standards. The ideal candidate will have experience in cyber security or technology-driven environments and a strong understanding of global data protection laws, security frameworks, and...
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Compliance Manager
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Mumbai, India AstraZeneca Full timeJob Description About AstraZeneca AstraZeneca is a global, science-led, patient-focused biopharmaceutical company that focuses on the discovery, development and commercialization of prescription medicines for some of the world's most serious diseases. But we're more than one of the world's leading pharmaceutical companies. Job Description Responsible for...
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Compliance Manager
5 hours ago
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Compliance Manager
4 days ago
Delhi, India, India Nation with NaMo Full timeAbout Us: We are India's leading political consulting organization, dedicated to providing high-quality professional support for political campaigns. We strongly believe that the nation will best benefit from an enlightened political leadership in the form of Prime Minister Narendra Modi and are proud to have previously contributed in a similar capacity in...
