Compliance Officer
5 hours ago
Job Title:
Compliance Officer – AIF/PMS
Location:
Mumbai (Andheri)
Experience Required:
6–7 years
About 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 policies, and providing guidance to business teams.
Key Responsibilities:
- Ensure compliance with SEBI (AIF/PMS) regulations, circulars, and reporting requirements.
- Draft, implement, and update compliance policies and internal controls.
- Monitor KYC/AML processes and investor onboarding.
- Handle regulatory inspections, audits, and filings.
- Liaise with regulators, custodians, trustees, auditors, and other stakeholders.
- Provide compliance advisory support to investment, sales, and operations teams.
- Conduct regular compliance reviews and maintain proper documentation.
Requirements:
- 6–7 years of experience in compliance within AIF/PMS/Wealth Management domain.
- Strong understanding of SEBI regulations, AML/KYC norms, and investment operations.
- Professional qualifications such as CS/LLB/MBA (Finance) preferred.
- Strong communication and stakeholder management skills.
-
Compliance Officer
2 weeks ago
Mumbai, Maharashtra, India Equirus Full time ₹ 5,00,000 - ₹ 15,00,000 per yearJob Description:About EquirusAbout Equirus WealthEquirus is a leading mid‐market investment bank with strong practices around M&A, PE, Capital Markets, Institutional Equities, Wealth Management, Insurance Broking, and Portfolio Management Services.For more details you can visit us at Equirus Wealth is a holistic Wealth Management platform founded in 2018...
-
IT Compliance Officer
2 weeks ago
Mumbai, Maharashtra, India ERGO Technology & Services Full time ₹ 12,00,000 - ₹ 24,00,000 per yearThe IT Compliance Officer reports to the Head of IT Audit Coordination APAC based in Singapore. This role sits in the sub tower which is the central point for managing all IT audits and regulatory questionnaires, both internal and external. The goal of the sub tower is to ensure a smooth and effective evaluation process by acting as the primary coordination...
-
Compliance Officer
1 week ago
Mumbai, Maharashtra, India Weekday AI Full time ₹ 8,00,000 - ₹ 24,00,000 per yearThis role is for one of Weekday's clientsMin Experience: 4 yearsLocation: MumbaiJobType: full-timeRequirementsWe 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,...
-
Assistant
4 days ago
Mumbai, Maharashtra, India Compliance Sathi Full time ₹ 3,00,000 - ₹ 4,50,000 per yearCompany DescriptionCompliance Sathi specializes in a wide variety of services including the formation of companies and LLPs, registration of societies and trusts, annual compliance with XBRL, and corporate law advice. Our practice areas also cover secretarial audits, due diligence, conversions of companies and LLPs, IEPF processes, IPO and listing...
-
Internal Compliance Officer
4 days ago
Mumbai, Maharashtra, India Augmont Goldtech Full time ₹ 9,00,000 - ₹ 12,00,000 per yearInternal Compliance Officer (Fractional) Global Blockchain ProjectRemote (India or Dubai)MissionKeep VARA and counterparties comfortable by establishing a strong internal compliance framework from day one.Why this role is differentThis is a new global tokenisation project and compliance is one of the most critical pillars. As Internal Compliance Officer, you...
-
Compliance and Operations Officer
1 week ago
Mumbai, Maharashtra, India Radha Investment Advisors LLP Full time ₹ 4,50,000 - ₹ 9,00,000 per yearDesignation: Compliance and Operations officerRole: Compliance and OperationsDepartment: Fund Management TeamLocation: Nariman Point, MumbaiJoining Date: ImmediateEmployment Type: Full – TimeQualification: Post Graduate (M.Com/MBA/M.A/M.Sc/CA/CS/CWA/CFA)Experience: 0 - 3 yearsMandatory Requirement:a) Should be Post Graduate.b) Must obtain NISM - AIF...
-
Compliance Officer
4 days ago
Mumbai, Maharashtra, India Octanom Tech Full time ₹ 42,00,000 - ₹ 84,00,000 per yearCompany Overview:Octanom Tech Private Limited is a leading Invest Tech firm that operates , India's first 'Hedged-Style' trading and investing platform. We are focused on minimizing losses rather than maximizing profits, utilizing advanced AI technology to efficiently manage risk across financial instruments. As a SEBI- registered Research Analyst (RA) firm,...
-
Senior Compliance Officer
1 week ago
Mumbai, Maharashtra, India ValueQuest Investment Advisors Full time ₹ 15,00,000 - ₹ 25,00,000 per yearAbout the jobWe are seeking a dynamic and experienced Senior Compliance Officer as part of our Mumbai-based team to oversee the overall compliance framework and regulatory obligations of our Alternate Investment Funds (AIFs) in India. The role involves ensuring adherence to relevant regulations, allied laws and internal policies while providing strategic...
-
Compliance Officer
1 week ago
Mumbai, Maharashtra, India, Maharashtra SKS Enterpprises - Human Resource Planning and Management Full timeJob 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
Mumbai, Maharashtra, India Sadhana Nitro Chem Limited Full time ₹ 6,00,000 - ₹ 12,00,000 per yearEnsure compliance with SEBI, ROC, Companies Act, and regulations. Assist in drafting, filing, and reviewing secretarial documents, maintaining statutory records, preparing board materials, and advising mgt on regulatory changes and compliance impacts Required Candidate profile• 1–3 years in compliance, preferably with a listed/public limited company.•...