Compliance Officer

3 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

  • Compliance Officer

    2 weeks ago

    Mumbai, Maharashtra, India SMEST Capital Private Limited Full time

    **TITLE: Compliance Officer** LOCATION**:Mumbai 400052** **JOB SUMMARY**: We are searching for a motivated compliance officer to guarantee that our business processes and transactions follow all relevant legal and. internal guidelines. **ROLES AND RESPONSIBILITIES**: - Responsible for company affairs. - Provide legal and compliance perspectives to the...

  • Compliance Officer

    3 days ago

    Mumbai, Maharashtra, India Theorynine Technologies pvt ltd Full time

    Urgent Requirement for the post of Compliance Officer  Exp - 2 Years  Location: Goregaon Mumbai   Key Responsibilities: - Knowledge of compliances applicable for the BFSI sector (SEBI, RBI, IRDAI, PFRDA) - Analyze, prepare the gist and implications of regulatory communication and broadcast it - Prepare a compliance checklist (both, on-going...

  • Compliance Officer

    5 days ago

    Mumbai, Maharashtra, India Theorynine Technologies pvt ltd Full time

    **Urgent Requirement for the post of Compliance Officer** ** Exp - 2 Years** ** Location: Goregaon Mumbai** **Education - Commerce graduates doing compliance related work** **1. Knowledge of compliances applicable for the BFSI sector (SEBI, RBI, IRDAI, PFRDA) Analyze, prepare the gist and implications of regulatory communication and broadcast it...

  • Compliance Officer

    2 weeks ago

    Mumbai Central, Mumbai, Maharashtra, India Pro Staffing Full time

    **Job Title: Compliance Officer (Full-Scope)** **Department**: Compliance **Reports to**: Operations Head / Managing Director **Company**: Pro Staffing **Location**: Remote **Purpose of the Role** The role combines both action and accountability — managing day-to-day compliance processing while maintaining continuous audit readiness, system accuracy,...

  • Compliance Officer

    2 weeks ago

    Sion, Mumbai, Maharashtra, India Anzen Technologies Pvt Ltd Full time

    Opening for Compliance Officer: - Being into IT Services and solutions, we have requirement for the below profiles. Concern person should have minimum years of experience in the same field. **Roles and Responsibilities** **Job Summary**: Under general direction, an employee in this role will have the following responsibilities: - Shall drive Compliance...

  • Compliance Officer

    2 weeks ago

    Mumbai, India Guidepoint Full time

    **Overview** The Compliance Department is a collaborative team that proactively supports Guidepoint's global business. The team identifies and addresses areas of risk and advises internal stakeholders on new business initiatives and variations on existing products and conducts compliance training of internal employees. These efforts have created a premier...

  • Compliance and Operations Officer

    3 days ago

    Mumbai, Maharashtra, India Radha Investment Advisors LLP Full time

    Designation: Compliance and Operations officer Role: Compliance and Operations Department: Fund Management Team Location: Nariman Point, Mumbai Joining Date: Immediate Employment Type: Full - Time Qualification: Post Graduate (M.Com/MBA/M.A/M.Sc/CA/CS/CWA/CFA) Experience: 0 - 3 years Mandatory Requirement: a) Should be Post Graduate. b) Must obtain...

  • Compliance Officer

    18 hours 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

    1 week ago

    Sitabuldi, Nagpur, Maharashtra, India Ashish NX Full time ₹ 2,40,000 - ₹ 3,60,000 per year

    Ashiesh Nx Pvt Ltd is hiring Compliance OfficerLocation: NagpurJob Type: Full-timeJob Description:We are seeking a detail-oriented and proactive Compliance Officer to ensure that our company's operations and business processes comply with all legal and regulatory requirements. The role will also support in maintaining statutory records, monitoring internal...

  • Compliance Officer

    7 days ago

    Mumbai, Maharashtra, India Russell Investments Full time ₹ 12,00,000 - ₹ 24,00,000 per year

    Business Unit:Compliance, Risk and Internal AuditReporting To:Compliance ManagerShift:EMEA (1:30 pm - 10:30 pm IST) (India)About Russell Investments, Mumbai: Russell Investments is a leading outsourced financial partner and global investment solutions firm providing a wide range of investment capabilities to institutional investors, financial...