Officer, Business Compliance

2 days ago

Mumbai, India Saplings HR Full time
The firm manages equity assets across PMS, AIF, and Advisory channels, including offshore funds. It oversees assets under management and advisory of approximately 3600 Crs
Its proprietary SQGARP™ (Sustainable Quality Growth at Reasonable Price) framework drives a focus on quality businesses and rigorous risk management.
The firm's leadership has earned multiple awards, such as being recognized by Outlook Money as a Leading Fund Manager and as Best Fund Manager – Runner-Up for Axis Mid Cap Fund, among others.
Compliance (PMS & Regulatory)
Act as the designated Compliance Officer under SEBI PMS Regulations.
Ensure timely compliance with SEBI regulations, circulars, and guidelines related to PMS.
Monitor investment operations, disclosures, client agreements, and ensure adherence to regulatory and internal guidelines.
File regulatory returns and reports with SEBI, stock exchanges (if applicable), and other statutory bodies.
Conduct compliance testing, monitoring, and periodic reviews of policies and processes.
Liaise with regulators, auditors, custodians, and other external stakeholders on compliance-related matters.
Maintain and update compliance manuals, policies, and SOPs.

Act as the Company Secretary, ensuring compliance with the Companies Act, 2013 and rules thereunder.
Handle corporate governance matters and provide guidance to the Board on legal and governance issues.
Support the Board and management in ensuring effective governance practices and compliance culture.

Advisory & Risk Management
Advise management on compliance implications of new business initiatives, products, or partnerships.
Identify, assess, and mitigate compliance risks across functions.
Conduct internal awareness sessions to build compliance culture across the organization.

Law degree or additional compliance certifications preferred
Experience:
Minimum 7 years of experience in Compliance & Company Secretarial roles in PMS & AIF
Strong understanding of SEBI PMS Regulations, Companies Act, FEMA, and other relevant regulatory frameworks.

In-depth knowledge of regulatory environment and compliance practices.
CS+LLB
CS+MBA
CS+MCom
CS+CA

  • Compliance Officer

    1 week ago

    Mumbai, India Majestic Basmati Rice Pvt. Ltd. Full time

    **Position: Compliance Officer** **Location: Mumbai** **Salary: 20k-40k per month** **Immediate Joiners Preffered!** **Responsibilities for Compliance Officer**: - Need compliance officer for Mumbai office. Should be able to understand and reply to queries by **SEBI and NSE and BSE** - Mastermind compliance policies and protocols on behalf of the...

  • Compliance Officer

    1 week ago

    Mumbai, India HR Employment Care Full time

    Location: Mumbai **Salary**: 18-25k per month Immediate Joiners Preferred! Responsibilities for Compliance Officer: Need a compliance officer for the Mumbai office. Should be able to understand and reply to queries by SEBI and NSE and BSE Mastermind compliance policies and protocols on behalf of the organization Develop and implement a compliance...

  • Compliance Officer

    4 days ago

    Mumbai, Maharashtra, India SKS Enterpprises - Human Resource Planning and Management Full time ₹ 6,00,000 - ₹ 18,00,000 per year

    Job 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...

  • Compliance Officer

    4 hours ago

    Mumbai, India UBS Full time

    India - Compliance - Group Functions **Job Reference #** - 274527BR **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...

  • Compliance or Legal Officer

    4 days ago

    Mumbai, India Mangalam Placement Full time

    **Company**: Finhaat **Location** Mumbai **Experience** 6-8 Years **Key Skills** IRDA, Legal Compliances, Compliance, LLB **Position: Compliance or Legal Officer** **Qualification: LLB** **Experience: 4 to 8 years** **Location: Mumbai** **Job description** **Role & responsibilities**: Statutory compliances of Insurance business IRDAI Regulatory...

  • Compliance Officer

    1 week ago

    Mumbai, Maharashtra, India A9 Finsight Pvt Ltd Full time

    **Company Profile: A9 Finsight Pvt. Ltd. is an AMC. It is an investment manager of an AIF (Category III).** Job Profile **Job Profile**:Compliance Officer** **Responsibilities**: 1) Initiate, drive process rigor and accuracy, execute and manage compliance under Corporate & Other Laws. 2) Work with different stakeholders within and outside the business to...

  • Compliance Officer

    2 weeks ago

    Mumbai, India Weekday AI Full time

    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...

  • IT Compliance Officer

    5 days ago

    Mumbai, India 23Dept Full time

    Job Description The IT Compliance Officer is responsible for ensuring that the organization's information technology systems and processes comply with relevant laws, regulations, and internal policies. This role involves assessing risks, implementing compliance programs, conducting audits, and collaborating with various departments to maintain a secure...

  • IT Compliance Officer

    4 days ago

    Mumbai, India 23Dept Full time

    Job Description The IT Compliance Officer is responsible for ensuring that the organization's information technology systems and processes comply with relevant laws, regulations, and internal policies. This role involves assessing risks, implementing compliance programs, conducting audits, and collaborating with various departments to maintain a secure...

  • Compliance Officer

    6 days ago

    Mumbai, Maharashtra, India Worldline Full time

    Job Description - Compliance Officer **About Worldline** Worldline helps businesses of all shapes and sizes to accelerate their growth journey - quickly, simply, and securely. We are the innovators at the heart of the payments technology industry, shaping how the world pays and gets paid. Our technology powers the growth of millions of businesses across 5...