Compliance Executive

4 days ago

Mumbai, Maharashtra, India Synapse Search Partners Full time
As a Compliance Executive / Senior Executive, you will support the compliance function for our Portfolio Management Services (PMS), ensuring that all activities are in line with SEBI regulations and internal guidelines. You will work closely with the Compliance Manager to assist in regulatory filings, documentation, audits, and day-to-day compliance tasks, while developing a strong foundation in regulatory frameworks.Responsibilities:1. Assist in ensuring compliance with SEBI PMS Regulations, Circulars & Notifications:
• Stay informed about regulatory changes and support the implementation of updates in internalpolicies.
• Assist in drafting and maintaining compliance checklists and policy documents.2. Support in the maintenance of the Compliance Manual, Checklist, Tracking, and Reporting:
• Help in updating and organising compliance manuals and tracking tools.
• Assist in periodic internal reviews and documentation updates.3. Assist in Regulatory Filings:
• Help prepare regulatory reports and submissions to SEBI and APMI under the guidance of theCompliance Manager.
• Ensure timely collation of data for accurate filings.4. Support Statutory Compliance under Companies Act 2013:
• Aid in monitoring applicable provisions under the Companies Act relevant to PMS.
• Assist in maintaining statutory registers and supporting documentation.5. Assist in Audits:
• Support concurrent, internal, and statutory audits by preparing required documentation andresponding to audit queries.
• Follow up on audit observations and support implementation of corrective actions.6. Support in AML/PMLA & Insider Trading Compliance:
• Help implement and monitor procedures related to AML, PMLA, and Insider Trading.
• Assist in training coordination and compliance awareness initiatives.7. Support Client and Distributor Documentation:
• Assist with the onboarding and documentation process for PMS clients and distributors, ensuring compliance with SEBI regulations.Educational Qualification, Skills, and Experience:Educational Qualifications: CS (preferably a topper or high-ranking student); LLB/LLM would be an added advantageExperience: 0–2 years in compliance roles, preferably in PMS/AIF/MF domain ( freshers are encouraged to apply)Skills:
• Strong academic foundation with good understanding of regulatory frameworks.
• Eager to learn, with the ability to grasp and interpret SEBI and Companies Act regulations.
• Strong drafting, documentation, and organisational skills.
• High level of ownership, attention to detail, and professionalism.
• Strong communication and interpersonal skills, with the ability to work collaboratively.

  • Compliance Testing

    3 days ago

    Mumbai, Maharashtra, India Acura solutions Full time

    Key Responsibilities Compliance Testing Monitoring Develop and execute the annual compliance testing plan Conduct compliance reviews of various banking products processes and functions Perform sample testing to evaluate adherence to RBI SEBI IRDAI and other regulatory guidelines Identify control weaknesses and non-compliance issues Risk...

  • Executive Compliance Specialist

    2 days ago

    Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 80,00,000 - ₹ 1,50,00,000

    Job Overview:The role of a Compliance Officer is crucial in ensuring that our organization adheres to all applicable regulatory guidelines. The ideal candidate will have a strong understanding of RBI and IRDAI regulations, as well as prior experience in compliance roles within NBFCs or financial institutions.Key Responsibilities:Timely and accurate filing of...

  • Compliance Specialist

    5 days ago

    Navi Mumbai, Maharashtra, India beBeeCompliance Full time

    Job Title: Compliance SpecialistJob Description:The Compliance Specialist will be responsible for ensuring that our organization remains compliant with all relevant employment laws and regulations. This includes monitoring changes in labor laws and updating policies accordingly.Key responsibilities include: Framing, developing, implementing, and maintaining...

  • Senior Executive- Tax And Compliance

    4 weeks ago

    Mumbai, Maharashtra, India Seclore Full time

    Congratulations, you have taken the first step towards bagging a career-defining role.Join the team of superheroes that safeguard data wherever it goes. What should you know about us? Seclore protects and controls digital assets to help enterprises prevent data theft and achieve compliance.Permissions and access to digital assets can be granularly assigned...

  • Manager - Compliance

    2 days ago

    Mumbai, Maharashtra, India Tata AIA Life Full time

    Job 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...

  • Senior Executive- Tax And Compliance

    4 weeks ago

    Mumbai, Maharashtra, India Seclore Full time

    Congratulations, you have taken the first step towards bagging a career-defining role.Join the team of superheroes that safeguard data wherever it goes.What should you know about us? Seclore protects and controls digital assets to help enterprises prevent data theft and achieve compliance.Permissions and access to digital assets can be granularly assigned...

  • Senior Regulatory Compliance Professional

    3 days ago

    Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 10,00,000 - ₹ 30,00,000

    Compliance SpecialistA Compliance Tester is required to monitor and ensure adherence to regulatory guidelines. The role involves developing and executing an annual compliance testing plan, conducting reviews of banking products, processes, and functions, and identifying control weaknesses and non-compliance issues.

  • Head of Compliance

    2 weeks ago

    Mumbai, Maharashtra, India Artha Group Full time

    Job DescriptionAbout Artha GroupArtha Group is a performance-led investment house managing over 1,250 crores (USD 150M+) across five fund platforms including Artha Venture Fund, Artha Select Fund, and Artha Continuum Fund. Our vertically integrated model spans venture capital, renewable energy assets, and global fund-of-fund structures. With 130+ investments...

  • Head of Compliance

    2 days ago

    Mumbai, Maharashtra, India Artha Group Full time

    About Artha GroupArtha Group is a performance-led investment house managing over ₹1,250 crores (USD 150M+) across five fund platforms including Artha Venture Fund, Artha Select Fund, and Artha Continuum Fund. Our vertically integrated model spans venture capital, renewable energy assets, and global fund-of-fund structures. With 130+ investments and 30+...

  • Compliance Manager

    3 weeks ago

    Mumbai, Maharashtra, India Liberty Mutual Full time

    Job 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...