Compliance Officer

Compliance OfficerRoles and Responsibilities :Monitoring : The compliance officer monitors the firm's day-to-day compliance with stock exchanges and depositories. They also monitor the compliance of KYC and AML & PMLA guidelines.Responding to notices :The compliance officer responds to surveillance notices, show cause notices, and adjudicating orders from...

Compliance OfficerRoles and Responsibilities :Monitoring : The compliance officer monitors the firm's day-to-day compliance with stock exchanges and depositories. They also monitor the compliance of KYC and AML & PMLA guidelines.Responding to notices :The compliance officer responds to surveillance notices, show cause notices, and adjudicating orders from...

We're Hiring – Compliance Officer (RTA Services)Location:Mumbai | Full-Time | 5 Days | Work from Office (WFO)Are you a compliance professional with strong knowledge of SEBI regulations (AIF/PMS) and experience in RTA operations? Join a dynamic team where your expertise in financial compliance and regulatory frameworks will make a direct impact.Key...

Looking for a Compliance Officer for a Stock Broking Firm based in Mumbai.Key Responsibilities:1. Regulatory Compliance:Ensure full compliance with SEBI regulations, stock exchange rules, and other applicable laws governing the stock broking business.Regularly monitor and review changes in SEBI guidelines and circulars, and implement necessary updates in...

Position 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...

Role & responsibilitiesRegulatory Reporting: Assist in preparing and submitting compliance reports to RBI and other regulatory bodies.Policy Support: Help in the drafting and updating of all policies and procedures in accordance with regulatory updates.Compliance Monitoring: Assist in monitoring day-to-day business operations to ensure compliance with legal...

This 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...

Position 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...

Role & responsibilitiesTo implement Exchange/SEBI/CDSL circular & guidelinesAssisting in Handling SEBI / Exchange Inspections & Internal AuditConducting AP and Branch InspectionsAssisting in any ongoing regulatory mattersTracking of the service related communicationsLiaison with exchanges/CDSL/SEBITracking regulatory submissions and assisting in arranging...

Company DescriptionCompliance Sathi specializes in providing a wide range of corporate compliance and advisory services. Our key offerings include company and LLP formation, annual compliance with XBRL, corporate law advice, secretarial audits, and due diligence. We also provide services related to IPO and listing compliance, RBI & FEMA compliance, trademark...