Compliance

Handling all statutory compliances of Trading Member with all exchanges like - 1. Member Activation & surrender procedure 2. Updating & getting approval of change in Trading Member details Like: - Change in Shareholding Pattern - Change in Director’s & their details - Change in member Contact details - Change in compliance officer details etc 3....

Job Location- Mumbai- Experience (in Years)- 3 - 7- Job Type- Full Time**Job Description**: Core Purpose of the Role: - This role reports to the Compliance officer with a primary objective to effectively manage and run a fully compliant business in the highly regulated business of financial services. The role extends across all group entities & businesses....

Key Responsibilities: Experience: 0-2 years - Assist in the development, implementation, and maintenance of compliance policies and procedures. - Conduct regular compliance reviews and assessments to identify areas of potential risk or non-compliance. - Collaborate with internal stakeholders to provide guidance and training on compliance-related matters. -...

We are seeking a detail-oriented and analytical Investment Compliance Analyst to join our team. The ideal candidate will have a strong understanding of investment instruments and the ability to interpret and apply investment guidelines effectively. This role requires hands-on experience in investment compliance functions, including coding and post-trade...

Roles and Responsibilities Ensure due compliance under the Companies Act, 3, SEBI Regulations, FEMA, RBI and other applicable laws; Ensuring governance-related requirements are met; Assist in ensuring that appropriate Company Secretarial Practices are developed, implemented and continuously improved as per relevant regulatory requirements from time to time;...

Job Title: Manager- IT ComplianceJob Description:The IT Compliance Specialist is responsible for ensuring that an organization's information technology systems and processes comply with relevant regulations, policies, and standards. They play a critical role in maintaining the security, integrity, and confidentiality of data within the...

Key Responsibilities1. Compliance Framework & GovernanceDevelop and implement a compliance management framework covering applicable laws, regulations, and internal policies.Map statutory and regulatory obligations (SEBI, MCA, RBI, FEMA, Income Tax, Labour, Environment, Trust Regulations, etc.) and maintain a compliance register.Roll out and manage compliance...

As a Compliance Testing Manager, you will play a crucial role in conducting Compliance reviews for Banks functions and new products to ensure adherence to regulatory norms. Your responsibilities will include: - Assisting in the preparation of the Compliance Review plan to be presented to the Board. - Developing and updating Compliance review checklists in...

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...

Hi,This is regarding job opportunity with leading private bank.Designation: Compliance ManagerExperience: 4-8 yearsLocation: MumbaiRole & Responsibilities:-Should keep an eye on new rules as they emerge and quickly notify the appropriate internal stakeholders.-Supporting regulatory investigations and inspections, including but not restricted to liaising with...