Compliance Officer

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 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 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 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...

We're Hiring – Compliance Officer (RTA Services)Location:Mumbai | Full-Time | 5 Days | Work from Office (WFO)Are you a compliance professional with strong knowledge of SEBI regulations (AIF/PMS) and experience in RTA operations? Join a dynamic team where your expertise in financial compliance and regulatory frameworks will make a direct impact.Key...

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...

**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. -...

India - Compliance, Investment Banking - Group Functions **Job Reference #** - 263469BR **City** - Mumbai **Job Type** - Full Time **Your role** - Do you have experience in providing compliance or risk advisory services to a business division? Do you enjoy advising and supporting front office colleagues to ensure compliance? Are you confident when it...

India - Compliance - Group Functions **Job Reference #** - 257462BR **City** - Mumbai **Job Type** - Full Time **Your role** - Do you have experience in providing compliance or risk advisory services to a business division? Do you enjoy advising and supporting front office colleagues to ensure compliance? Are you confident when it comes to speaking up...

Job Description 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...