Compliance Officer

2 days ago

Mumbai Maharashtra, India Zyoin Web Pvt. Ltd. Full time

Job Title: Compliance Officer - Mutual Fund Compliance

Location**:Mumbai (on-site: Andheri/Belapur)**

Experience**:3+ years in Mutual Fund compliance**

Job Summary:
We are currently looking for compliance professionals with a graduation degree **from AMC, financial or NBFC industry **with **minimum 3 years of experience in Mutual Fund compliance.**

Roles and Responsibilities:

- Responsible for compliance under SEBI Regulations, Corporate Laws, etc. for Mutual Fund
- Supervising various Compliances as per SEBI Regulations on day-to-day basis, internal compliance systems, etc.
- Drafting of SID/SAI, Compliance Manual, etc.
- Interacting with the statutory authorities for approvals & clarifications
- Arrangements for Board Meetings, Committee meetings.
- Compliances with PMLA guidelines, etc.
- Drafting and Vetting of various distributor, office agreements, redressal of investor grievances, etc.
- Drafting minutes of AMC and Trustee CompanyReporting of compliances to SEBI, ROC, RBI, etc.
- Generation of MIS and reporting to top level management
- Handling of Statutory Audit, SEBI Audit, Internal Audit, etc.Checking of Compliance limits as per SEBI Regulations
- Liasoning with the auditors on compliance issues
- Providing compliance updates to various departmentsMonitoring & reporting of compliances relating to investors’ servicing to statutory authorities
- Approving advertisements for marketing dept.
- Ensure that the guidelines are adhered to for introduction of new schemes, change in load structure based on recommendations from marketing and sales.
- SEBI guidelines adherence for Offer documents - both external (SEBI, Custodians) and internal (Sales, Fund Managers, Operations )
- Ensure that all employees adhere to the SEBI guidelines.

Qualification:
**Bachelor's degree in any specialization**

**Should have 3+ years of experience in mutual fund compliance.**

Strong problem-solving and decision-making abilities.

Note:
If your profile matches, we will contact you for further steps.

Why should you apply?
- Career growth
- Rewards and recognition
- Attractive perks and benefits

About Zyoin Pvt. Ltd.

Zyoin Group is a solutions provider that partners with clients to deliver personalized solutions that meet their requirements. We achieve this by combining cutting-edge technology with industry expertise and best practices.

**Salary**: ₹1,000,000.00 - ₹1,500,000.00 per year

**Benefits**:

- Health insurance
- Provident Fund

Schedule:

- Day shift
- Monday to Friday

Application Question(s):

- Are you currently living in Mumbai?

**Experience**:

- Mutual Fund Compliance: 3 years (required)

Work Location: In person

**Speak with the employer**
+91 09937781364

  • Compliance Officer

    2 weeks ago

    Mumbai, Maharashtra, India Generic Engineering Constructions and Project LTD Full time

    **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. -...

  • Compliance Officer

    7 days 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

    7 days ago

    Andheri, Mumbai, Maharashtra, India Speshally NHS Pvt LTd Full time

    Position: Company Secretary and Compliance Officer (Secretarial & Legal) Location: Mumbai Reports to: Managing Director / Board of Directors Role Overview The Company Secretary, Legal & Compliance Officer will be responsible for ensuring compliance with the provisions of the Companies Act, 2013, SEBI regulations, and all applicable corporate laws. The...

  • Compliance Officer

    7 days ago

    Mumbai, Maharashtra, India 1 Finance Full time

    P2P Lending Mumbai 4 - 8 Years Of Experience No. of Openings - 2 **Responsibilities**: - Perform data entry and maintain accurate records in internal systems - Handle documentation, filing, and backend processing tasks - Assist in preparing operational reports, dashboards, and MIS - Coordinate with front-office, finance, or compliance teams for...

  • Compliance Officer

    5 days ago

    Mumbai, Maharashtra, India MSCI Inc Full time

    Job Description - Compliance Officer (240000GF) - Job Number: 240000GF Requisition Title : Compliance Officer **Description**: **Your team responsibilities** On the forefront of the financial services industry, MSCI’s Compliance team offers a fast-paced yet collegial environment, which is created through a strong culture of teamwork and close working...

  • Compliance Officer

    5 days ago

    Mumbai, Maharashtra, 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 management...

  • Compliance Officer

    4 days ago

    Ghatkopar, Mumbai, Maharashtra, India Sensys Technologies Pvt. Ltd Full time

    Job Title: HR Compliance Officer Experience: 2 to 5years **Salary**: 22k to 25k Location: Ghatkopar Preference: Male Key Responsibilities: 1. Liaison with Regulatory Bodies - Interact and coordinate with PF, ESIC, and labour office officials to ensure compliance and resolve any issues that may arise. - Stay updated with the latest amendments and...

  • Compliance Officer

    2 weeks ago

    Bandra, Mumbai, Maharashtra, India SMEST Capital Private Limited Full time

    **TITLE: Compliance Officer (Minimum Qualification - Company Secretary)** LOCATION**:Mumbai 400052** **JOB SUMMARY**: We are searching for a motivated and experienced compliance officer to guarantee that our business processes and transactions follow all relevant legal and. internal guidelines. **ROLES AND RESPONSIBILITIES**: - Responsible for company...

  • Compliance Officer

    7 days 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...