Compliance Manager
3 days ago
Position Name - Compliance Manager - Mutual FundLocation - MumbaiExperience Range years, preferably from a Trustee backgroundMandatory Requirement:strong background in compliance within the Mutual fund/Trustee/Financial Services domain, with expertise in regulatory frameworks, risk management, and governance processes.Job Roles and Responsibilities:Oversee compliance activities for Trustee operations and ensure alignment with SEBI, RBI, and other regulatory requirements.Monitor regulatory changes and assess their impact on business operations.Draft, review, and update compliance policies, procedures, and manuals.Conduct compliance risk assessments and provide recommendations for risk mitigation.Ensure timely submission of regulatory filings, reports, and disclosures.Liaise with regulators, auditors, and internal stakeholders on compliance matters.Provide training and guidance to business teams on compliance requirements.Support the Group Compliance Head in driving compliance strategy and governance initiatives.Qualification and Experience:Experience: 8–10 years of experience in compliance, preferably from a Mutual fund,Trustee or related financial services background.Education: Graduate/Postgraduate in Law, Finance, or related field; additional certifications (e.g., CS, CA, CFA, or compliance certifications) will be an advantage.Strong knowledge of SEBI regulations, Trustee obligations, fund compliance, and financial sector governance frameworks .Demonstrated ability to interpret and apply regulatory guidelines to business operations.Excellent analytical, communication, and stakeholder management skills.
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Manager - Compliance
1 day ago
Mumbai, Maharashtra, India Tata AIA Life Full timeJob DescriptionRole descriptionPosition Overview:Position TitleManager - ComplianceDepartmentComplianceLevel/Band401LocationMumbaiReports toAssistant Vice President - ComplianceRole Summary:.Provide extensive legal search and evaluating industry benchmark to opine on various business initiatives and legal provisions..Review product and marketing...
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Compliance Manager
3 days ago
Mumbai, Maharashtra, 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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Compliance Manager
3 weeks ago
Mumbai, Maharashtra, India 5paisa Full timeAbout us: 5paisa Capital Ltd. stands at the forefront of India's fintech revolution, offering a comprehensive digital platform for retail investors and traders. With a commitment to democratizing financial services, 5paisa provides a suite of products including stocks, Futures & Options, Mutual Funds, IPOs, all accessible through user-friendly mobile...
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Compliance Manager
2 weeks ago
Mumbai, Maharashtra, 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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Compliance Manager
1 day ago
Mumbai, Maharashtra, 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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Compliance Manager
2 weeks ago
Mumbai, Maharashtra, India Liberty Mutual Full timeJob DescriptionKey Responsibilities:- Preparation delivery of compliance review testing plan.- Independently concludes on the effectiveness of controls through the review and monitoring.- Communication of control issues and related recommendations to Operational management and respective team.- Provide recommendations for finding rankings and effectively...
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Compliance Manager
2 weeks ago
Navi Mumbai, Maharashtra, India White Force Full timeJob description Urgent requirement for the position of Compliance Manager in the company Location- Navi Mumbai (Vaashi) Experiance - Min 3yrs of experiance in broking compliance
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Compliance Manager
4 weeks ago
Mumbai, Maharashtra, India Piramal Enterprises Limited Full timeJOB OVERVIEW: Practical, hands‑on experience of 1014 years in compliance within NBFCs or banks, with a strong focus on retail lending products (housing loans, personal loans, digital lending, LAP). Proven ability to interpret and apply evolving regulatory guidelines.EXPERIENCE:Proven and rich experience of 10+ years in compliance with Banks / NBFCs....
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Compliance Manager
3 weeks ago
Mumbai, Maharashtra, India Piramal Enterprises Limited Full timeJOB OVERVIEW: Practical, hands‑on experience of 1014 years in compliance within NBFCs or banks, with a strong focus on retail lending products (housing loans, personal loans, digital lending, LAP).Proven ability to interpret and apply evolving regulatory guidelines.EXPERIENCE: Proven and rich experience of 10+ years in compliance with Banks /...
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Compliance Manager
1 hour ago
Mumbai, Maharashtra, India SK Finance Ltd Full timeTo ensure adherence of submission of returns to regulatory & statutory authorities in a timely manner.To conduct AML transaction monitoring & review of Risk Categorization of customers.To assist in compliance review & monitoring of various departments.To handle communications with regulatory bodies.To assist in preparation of MIS/ Dashboards for Board and...
