Compliance Head
6 days ago
Job Description
Responsibilities:
Oversee day-to-day compliance including updating and enforcing the Firm's Compliance Manual and Code of Ethics, regulatory filings, handling issues and questions related to trading activities/investment deals and assisting with AML and background checks related to counterparties on investment deals
Deliver compliance training (as needed), assist with email review and escalate issues to the Global CCO in ensuring compliance with applicable laws/statutes
Assist in regulatory and compliance filing activities, reviewing fund activity to detect any potential compliance issues, and implementing and executing corrective actions to compliance issues
Act as the Firm's primary contact with external regulators, specifically MAS and SEBI
Qualifications:
The candidate must have India regulatory experience ideally in the private market and ability to manage SEBI given deal flow/pipeline.
10+ years of work experience in a compliance or regulatory-related function within an SEC, FCA, SEBI and/or MAS regulated firm or the relevant experience with a law firm or consulting firm
Additional legal or compliance education and/or law degree is advantageous but not essential
Location : Mumbai
-
Compliance Head
1 week ago
Mumbai, Maharashtra, India Premier Consultants Full time ₹ 15,00,000 - ₹ 25,00,000 per yearJob Opportunity with a Leading NBFCDesignation: Compliance HeadLocation: MumbaiExperience: 10-15 YearsRole & Responsibilities:Lead risk-based compliance testing plans and thematic product reviews.Prepare compliance reports and ensure closure of identified gaps.Act as a liaison with RBI, SEBI, NHB, FIU and other regulators.Manage Risk Based Supervision (RBS)...
-
Head of Compliance
3 weeks ago
Mumbai, Maharashtra, India, Maharashtra Artha Group Full timeAbout Artha Group Artha Group is a performance-led investment house managing over ₹1,250 crores (USD 150M+) across five fund platforms including Artha Venture Fund, Artha Select Fund, and Artha Continuum Fund. Our vertically integrated model spans venture capital, renewable energy assets, and global fund-of-fund structures. With 130+ investments and 30+...
-
Head-Legal & Secretarial Compliance
8 hours ago
Mumbai, Maharashtra, India MANGALAM PLACEMENTS PVT LTD Full time ₹ 6,00,000 - ₹ 12,00,000 per yearJob Description Role : Head-Legal & Secretarial ComplianceLocation : MumbaiExperience : 6 to 7 years Qualification : LLB,CS Job Description : • Develop and implement legal and secretarial compliance policies and procedures• Monitor changes in relevant legislation and advise the company on necessary actions• Manage the company's legal and secretarial...
-
Head of Compliance
1 week ago
Mumbai, Maharashtra, India Stallion Asset Full time ₹ 20,00,000 - ₹ 25,00,000 per yearPosition OverviewWe are seeking a highly experienced and senior-level Compliance Officer to lead and oversee the compliance function at Stallion Asset Pvt. Ltd. Currently operating as a SEBI-registered Portfolio Management Services (PMS) firm, we are also in the process of applying for additional licenses including Mutual Fund, Alternative Investment Fund...
-
Compliance Manager
1 week ago
Mumbai, Maharashtra, India SKS Enterpprises - Human Resource Planning and Management Full time ₹ 15,00,000 - ₹ 20,00,000 per yearPosition Name - Compliance Manager - Mutual FundLocation - MumbaiExperience Range -8-10 years, preferably from a Trustee backgroundMandatory Requirement:strong background in compliance within the Mutual fund/Trustee/Financial Services domain, with expertise in regulatory frameworks, risk management, and governance processes.Job Roles and...
-
Compliance Manager
1 week ago
Mumbai, Maharashtra, India SKS Enterpprises - Human Resource Planning and Management Full time ₹ 20,00,000 - ₹ 25,00,000 per yearPosition Name - Compliance Manager - NBFCLocation - MumbaiExperience Range -12-15 years in the NBFC sectorMandatory Requirement:Ensure compliance with RBI, SEBI, and other regulatory requirements applicable to NBFC operations.Job Roles and Responsibilities:Ensure compliance with RBI, SEBI, and other regulatory requirements applicable to NBFC...
-
Assistant Compliance Manager, Compliance
2 weeks ago
Mumbai, Maharashtra, India CLSA Full time ₹ 9,00,000 - ₹ 12,00,000 per yearPosition DescriptionDesignated Company Secretary and hence a KMP. Also, an Associate Compliance Manager reporting into the head of Compliance & legal for CLSA - IndiaKey Areas of ResponsibilitiesHandling all Staff dealing Compliances & all necessary Certifications at entity level & employee levelResponsible for all corporate secretarial mattersImparting...
-
Head - Legal & Compliance
1 week ago
Mumbai, Maharashtra, India Hdfc Sales Full time ₹ 20,00,000 - ₹ 25,00,000 per yearRole & responsibilitiesWill need to manage and provide legal expertise on a wide range of legal matters such as contracts, regulatory compliance, litigation, employment law, corporate governance.Oversee the operation of the legal departmentIdentifying and mitigating legal risks.Developing and implementing legal procedures and policies to ensure the companys...
-
Business Head
2 weeks ago
Mumbai, Maharashtra, India Skillventory Full time ₹ 20,00,000 - ₹ 25,00,000 per yearRole & responsibilities :Business Head/Credit Head - Supply Chain Finance Location: Mumbai Function: Business / Supply Chain Finance We are looking for a strategic and growth-focused leader to drive our Supply Chain Finance verticalowning the P&L, forging ecosystem partnerships, spearheading product innovation, and building a robust, tech-enabled financing...
-
Zonal Head
2 weeks ago
Mumbai, Maharashtra, India Staffik servico Full time ₹ 15,00,000 - ₹ 25,00,000 per yearThe Zonal Head - Agency Channel is a senior leadership role responsible for overseeing and driving the performance of the agency distribution channel across a designated zone (e.g., North, East, West, South). Reporting to the Agency Operations Head, this position focuses on achieving sales targets, expanding the agency network, and ensuring operational...