Compliance Officer
3 hours ago
Role & responsibilities
- To implement Exchange/SEBI/CDSL circular & guidelines
- Assisting in Handling SEBI / Exchange Inspections & Internal Audit
- Conducting AP and Branch Inspections
- Assisting in any ongoing regulatory matters
- Tracking of the service related communications
- Liaison with exchanges/CDSL/SEBI
- Tracking regulatory submissions and assisting in arranging for timely submissions
- Tracking and monitoring of the Surveillance and regulatory alerts
- Review of formats/polices of the company
- Internal audits of different areas as and when identified by Compliance officer, or management
- Broking industry would be preferable, though can look at candidates from Banking with understanding of SEBI regulations
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Compliance Officer
6 days ago
Mumbai, Maharashtra, India SKS Enterpprises - Human Resource Planning and Management Full time ₹ 6,00,000 - ₹ 18,00,000 per yearJob 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...
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Compliance Officer
2 weeks ago
Mumbai, Maharashtra, India Russell Investments Full time ₹ 12,00,000 - ₹ 24,00,000 per yearBusiness 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...
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Compliance Officer
2 weeks ago
Mumbai, Maharashtra, India SKS Enterpprises Full time ₹ 12,00,000 - ₹ 36,00,000 per yearPosition Name - Compliance Officer - PMSLocation - Andheri,MumbaiExperience Range - 5+ yrsMandatory Requirement:Manage Compliance aspects of Portfolio Management Services.Job Roles and Responsibilities:Ensure compliance with SEBI (Portfolio Managers) Regulations, 2020, and other applicable laws.Monitor and implement changes in SEBI circulars, PMS regulatory...
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Compliance Officer
2 days ago
Mumbai, Maharashtra, India SKS Enterpprises Full time ₹ 12,00,000 - ₹ 24,00,000 per yearPosition Name - Compliance Officer - PMSLocation - BKC,MumbaiExperience Range - 5+ yrsMandatory Requirement:Manage Compliance aspects of Portfolio Management Services.Job Roles and Responsibilities:Ensure compliance with SEBI (Portfolio Managers) Regulations, 2020, and other applicable laws.Monitor and implement changes in SEBI circulars, PMS regulatory...
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Compliance Officer
7 hours ago
Mumbai, Maharashtra, India Weekday AI Full time ₹ 12,00,000 - ₹ 20,00,000 per yearThis role is for one of the Weekday's clientsSalary range: Rs Rs ie INR 12-20 LPA)Min Experience: 5 yearsLocation: MumbaiJobType: full-timeWe are seeking an experienced professional to manage and oversee compliance activities under SEBI AIF and PMS Regulations. The ideal candidate will be responsible for ensuring end-to-end regulatory adherence, handling...
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Compliance Officer
2 weeks ago
Mumbai, Maharashtra, India SKS Enterpprises Full time ₹ 12,00,000 - ₹ 36,00,000 per yearPosition Name - Compliance OfficerLocation - MumbaiExperience Range - 5 to 8 yearsJob Roles and Responsibilities:The role involves end-to-end responsibility for fund administration, investor servicing, compliance, and coordination with key stakeholders for Indias leading early-stage Angel fund(s).The position requires strong regulatory understanding,...
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Compliance Officer
2 days ago
Mumbai, Maharashtra, India SKS Enterpprises - Human Resource Planning and Management Full time ₹ 4,00,000 - ₹ 12,00,000 per yearPosition Name -Compliance OfficerLocation -MumbaiExperience Range -5 to 8 yearsJob Roles and Responsibilities:The role involves end-to-end responsibility for fund administration, investor servicing, compliance, and coordination with key stakeholders for Indias leading early-stage Angel fund(s).The position requires strong regulatory understanding, financial...
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Chief Compliance Officer
6 days ago
Mumbai, Maharashtra, India E Financial Holding Co., Ltd Full time ₹ 15,00,000 - ₹ 60,00,000 per yearCompliance Management Framework & GovernanceDevelop, implement, and maintain a comprehensive compliance program aligned with RBI's guidelines, Basel standard, and applicable regulations.Establish and regularly update compliance P&P, standard and controls tailored to the branch's risk profile and business model.Report to management and HO on compliance risks,...
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Safety And Compliance Officer
4 days ago
Mumbai, Maharashtra, India Sky High Airport Services Private Limited Full time ₹ 4,00,000 - ₹ 12,00,000 per yearCompany DescriptionSky High Airport Services Private Limited is a leading provider of aviation services, renowned for its quality, efficiency, and innovation. Trusted by airlines, airports, cargo communities, and passengers worldwide, Sky High is driven by a passion for excellence and a commitment to safety, sustainability, and customer satisfaction. The...
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Junior Compliance Officer
1 week ago
Mumbai, Maharashtra, India Optiver Full time ₹ 6,00,000 - ₹ 12,00,000 per yearJunior Compliance Officer IndiaAt Optiver, you'll find an environment built on collaboration, curiosity, and continuous improvement. As a leading technology-driven market maker, we thrive on solving complex challenges that power the world's financial markets. Our Compliance team plays a crucial role in ensuring that we operate with integrity, within...