Compliance Expert

3 days ago


Mumbai, Maharashtra, India Nuvama Group Full time
About the Role

We are seeking a highly skilled Compliance Expert to join our team at Nuvama Group.

Job Description

The primary responsibility of this role is to handle investor grievances and ensure compliance with regulatory requirements. Key responsibilities include:

  • Downloading complaints and forwarding them to the CXO team for resolution
  • Maintaining a database for various grievance matters and cases
  • Coordinating with the CXO team, stakeholders, and regulators

In addition to handling investor grievances, the Compliance Expert will also be responsible for filing ATRs within 21 days to regulators, collating details of direct complaints, and reporting to exchanges by the 7th of every month. They will also be responsible for uploading investor complaints/charter on the NWIL website, submitting BO grievance reports, attending conciliation proceedings, and coordinating with the legal team for arbitration matters.

The Compliance Expert will also assist in preparing for and facilitating internal and external audits and regulatory inspections, monitoring and conducting branch/AP inspections, addressing audit findings, and implementing corrective actions to ensure continuous improvement in compliance procedures.

Furthermore, they will liaise with SEBI, exchanges, and other regulatory bodies for routine and ad hoc compliance requirements, respond to regulatory queries, notices, and investigations, and ensure prompt and accurate communication.

Requirements
  • Education: Bachelor's degree in law, finance, business administration, or related fields
  • Experience: 6-8 years of experience in compliance, preferably within the broking or financial services industry handling investor grievance resolution
  • Regulatory Knowledge: Good knowledge and experience on regulations governing SEBI/exchange compliances in relation to broking and depository participant, investor grievance. Added knowledge/awareness regarding regulatory requirements w.r.t investment adviser, research analyst, distribution activities, portfolio management, etc. will be preferred
  • Communication: Strong verbal and written communication skills, with the ability to interact effectively with regulators and internal teams
  • Attention to Detail: High level of accuracy in compliance documentation, and reporting, and surveillance activities
  • Problem-Solving: Ability to quickly address and resolve compliance-related issues
  • Behavioral Competencies: Excellent communication and inter-personal skills, good networking across industry/stakeholders. Eye for detail, ability to analyze and provide clear guidance, good teamwork
Salary

Roughly ₹1,200,000 - ₹1,500,000 per annum, depending on qualifications and experience


  • Compliance Expert

    2 weeks ago


    Mumbai, Maharashtra, India IDFCFirst Bank Full time

    Job Title: Compliance ExpertAbout the RoleIDFC First Bank is seeking a highly skilled Compliance Expert to join our team. As a key member of our Regulatory Reporting department, you will be responsible for ensuring that our bank's policies and procedures comply with regulatory and ethical standards.ResponsibilitiesManage and guide the Regulatory Relationship...


  • Mumbai, Maharashtra, India Counselect Services Private Limited Full time

    Job Title: Corporate Compliance ExpertCompany Overview: Counselect Services Private Limited is seeking a highly skilled Corporate Compliance Expert to join their team.Estimated Salary: ₹60,00,000 - ₹90,00,000 per annum.Job Description:Responsibilities:Handle all end-to-end secretarial compliances of the companies.Coordinate with directors, shareholders,...


  • Mumbai, Maharashtra, India IDFCFirst Bank Full time

    Job Title: Regulatory Compliance ExpertAt IDFC First Bank, we are seeking an experienced Regulatory Compliance Expert to join our team. The ideal candidate will have a strong background in regulatory compliance and excellent analytical skills.Job Purpose:The role entails ensuring the bank's policies and procedures comply with regulatory and ethical...

  • Compliance Expert

    2 weeks ago


    Navi Mumbai, Maharashtra, India Omniscience Capital Full time

    Job SummaryWe are seeking a highly skilled Compliance Expert to join our team at Omnicience Capital. This is a critical role that requires a strong understanding of regulatory requirements and a keen eye for identifying and mitigating compliance risks.The ideal candidate will have a strong background in law, finance, or business administration, with a proven...


  • Mumbai, Maharashtra, India Escon Elevators Full time

    Job Title: Payroll Compliance ExpertAbout Escon Elevators:We are a leading manufacturer of elevators, escalators, and moving walkways. Our company is built on a strong foundation of innovation, quality, and customer satisfaction.Salary Range: ₹1,200,000 - ₹1,800,000 per annumJob Description: We seek a highly skilled Payroll Compliance Expert to oversee...


  • Mumbai, Maharashtra, India Aarti Industries Limited Full time

    Job Title: Compliance and Governance ExpertCompany Overview: Aarti Industries Limited is a leading industrial conglomerate with a strong presence in the Indian market. We are committed to providing our employees with opportunities for growth and development, and we are looking for talented individuals like you to join our team.Job Summary:We are seeking a...

  • Tax Compliance Expert

    3 weeks ago


    Mumbai, Maharashtra, India MountTalent Consulting Full time

    About the JobMtC is looking for an experienced Tax Compliance Expert to join our team in Mumbai. As a Tax Compliance Expert, you will be responsible for assisting seniors in responding to client queries on corporate tax matters, undertaking technical research on income-tax provisions, and preparing submissions in relation to assessment and appellate...


  • Mumbai, Maharashtra, India Lenden Club Techserve Private Limited Full time

    Join Our TeamLenden Club Techserve Private Limited is seeking a Risk and Compliance Expert to oversee our risk management and compliance functions. The successful candidate will have expertise in identifying and mitigating risks, as well as ensuring compliance with regulatory requirements.Key ResponsibilitiesStay updated on regulatory changes, emerging...

  • Tax Compliance Expert

    3 weeks ago


    Mumbai, Maharashtra, India MountTalent Consulting Full time

    Job Title: Tax Compliance ExpertAbout MountTalent ConsultingWe are a leading consulting firm specializing in tax advisory services. Our team of experts is dedicated to providing high-quality solutions to our clients.Job Description:Job SummaryWe have an exciting opportunity for a Tax Compliance Expert to join our team in Mumbai. The successful candidate will...


  • Mumbai, Maharashtra, India TeamLease Edtech Full time

    TeamLease Edtech seeks an experienced Senior Compliance and Policy Expert to lead our compliance and policy efforts.Salary: ₹1,200,000 - ₹1,500,000 per annum (approximate)Job Description:The prime role of the Senior Compliance and Policy Expert is to ensure seamless programme management across new, existing, and potential clients in accordance with HEI...

  • Tax Compliance Expert

    4 weeks ago


    Mumbai, Maharashtra, India API Holdings Full time

    API Holdings seeks a skilled Tax Compliance Expert to join its finance team in B2B. The ideal candidate will have a strong understanding of Goods and Services Tax (GST) regulations and compliance requirements.The Tax Compliance Expert will play a crucial role in ensuring the company's compliance with GST laws, optimizing GST processes, and providing valuable...


  • Mumbai, Maharashtra, India FatakPay Digital Pvt. Ltd. Full time

    Job Description: We are seeking an experienced Compliance and Governance Expert to join our team at FatakPay Digital Pvt. Ltd. As a key member of our organization, you will be responsible for ensuring compliance with legal and regulatory requirements, providing support to the board of directors, and maintaining effective corporate governance within the...


  • Mumbai, Maharashtra, India eClerx Full time

    Job TitleGlobal AML Compliance ExpertAbout the RoleWe are seeking an experienced Global AML Compliance Expert to lead our KYC/AML team. The ideal candidate will have a strong background in finance and AML, with excellent leadership and communication skills.Key ResponsibilitiesLead the development and implementation of AML compliance strategies across various...


  • Mumbai, Maharashtra, India DSP Eminence Consulting Services Full time

    **About the Role:**We are seeking a Secretarial Compliance Expert to join our team at DSP Eminence Consulting Services. The successful candidate will be responsible for ensuring the company's secretarial functions are running smoothly and efficiently. The ideal candidate will have a strong background in corporate law and secretarial practices, with excellent...


  • Navi Mumbai, Maharashtra, India Pivot Human Capital Full time

    About Pivot Human CapitalPivot Human Capital is a leading provider of financial services in Mumbai. We are seeking a highly skilled Regulatory Compliance Expert to join our team.Job DescriptionAs a Regulatory Compliance Expert, you will be responsible for ensuring that our organization complies with all relevant laws and regulations. This includes...

  • Company Secretary

    3 weeks ago


    Mumbai, Maharashtra, India Leadspire Consulting Full time

    Job Title: Company Secretary - Compliance ExpertLocation: Mumbai, IndiaEstimated Salary: ₹1,500,000 - ₹2,200,000 per annumJob Description:About the Role:We are seeking an experienced and proactive Company Secretary to join our team in Mumbai. As a key member of our secretarial services team, you will play a critical role in ensuring compliance with...


  • Mumbai, Maharashtra, India CA Monk Full time

    We are looking for a skilled Regulatory Compliance Expert to join our team at CA Monk in Mumbai. As a key member of our team, you will have the opportunity to work on exciting projects and contribute to our company's growth.Job Description:The successful candidate will be responsible for ensuring that our company remains compliant with relevant regulatory...


  • Mumbai, Maharashtra, India Ipca Laboratories Limited, Kandivali Full time

    Job Title: Talent Acquisition and Compliance ExpertIpca Laboratories Limited, Kandivali seeks a highly skilled Talent Acquisition and Compliance Expert to join its team. This is an exciting opportunity for a motivated professional to contribute to the company's success.About the Role:We are looking for an experienced professional with expertise in talent...


  • Mumbai, Maharashtra, India Infinitsys Solutions Pvt Ltd Full time

    **Join Infinitsys Solutions Pvt Ltd as an IT Regulatory Compliance Expert in Muscat, Oman!****About the Job:** We are looking for an experienced IT Regulatory Compliance Expert to join our team. As an IT Regulatory Compliance Expert, you will be responsible for ensuring that our IT operations are compliant with relevant laws, regulations, and industry...


  • Mumbai, Maharashtra, India XHire Full time

    **Job Opportunity:** CA Tax Compliance ExpertX Hire invites applications for a highly skilled Tax Compliance Expert to manage indirect and direct tax compliance for India entities.**Key Responsibilities:**Manage indirect and direct tax compliance for India entities, including GST returns and annual returns.Oversee and provide guidance on day-to-day GST...