Compliance Manager
2 days ago
Position Name - Compliance Manager - Mutual Fund
Location - Mumbai
Experience Range -
8-10 years
Mandatory 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 Responsibilities:
Independently manage reporting requirements to SEBI, AMFI, AMC / Trustee Board. Also cater to the reporting needs of the management as may arise from time to time.
Framework i.e. policies around PMLA, KYC, processes around client due diligence, analysis of alerts, tracking regulatory / industry developments, minutes, paperwork.
Implementation of Policies around conflict of interest, viz. Gift & Entertainment, Anti-bribery, Outside Business Activities, Error Escalations & Corrections, Fraud Escalation etc.
reporting on a regular basis to the regulatory body and progress of implementation, and assisting these components in establishing methods to improve efficiency and quality of services, and to reduce the vulnerability to non compliance and abuse.
Co-ordination with regulators and other Industry/regulatory bodies.
Submission of response/documents, Marketing material , Scheme documents and updates to the regulators.
Coordinating internal compliance review and monitoring activities, including periodic reviews of functions
Interpretation and distribution of regulatory directives received from time to time and Provide interpretation of regulations to the functions of the AMC
Review compliance of public documents and product related document.
Preparation and submission of regulatory reporting to Boards and regulators.
Vetting of documents in terms of regulatory compliance and other factors.
Support for implementation and monitoring of investment compliance.
Preparation and submission of Compliance test reports to the regulators.
Any other compliance activities as per the SEBI regulations and auditors as may be delegated from time to time.
Ensure adherence of PIT guidelines by organization.
Bloomberg limit monitoring module knowledge will be added advantage
Audit & Inspection related Co-ordinations.
Qualification and Experience:
7 years + relevant work experience in Mutual Fund Industry
Qualifications: C.A. / C.S./ MBA / Law Graduate. Candidates not having professional qualification but with relevant MF / AMC industry experience
Execution skills, analytical bend of mind, communication skills, ability to decode the regulations, solution oriented, good drafting skills, Further the candidate should have good skills in excel.
Commitment, passion for work & eagerness to learn, teamwork, ability to support the business during crunch situations & sustain pressures, manage relationship with all the stakeholders
-
Assistant
2 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...
-
Company Secretary
7 days ago
Mumbai, Maharashtra, India Verve Compliance Full time ₹ 40,00,000 - ₹ 80,00,000 per yearWe are hiring a full-time Company Secretary (CS) or CS Intern at our consultancy firm in Malad East. The role involves managing ROC/MCA filings, secretarial compliance, SEBI/FEMA matters, corporate governance, drafting contracts, and advisory support. The candidate should have strong analytical, communication, and client management skills with the ability to...
-
Compliance Manager
2 weeks ago
Mumbai, Maharashtra, India Weekday AI Full time ₹ 2,00,000 - ₹ 10,00,000 per yearThis role is for one of the Weekday's clientsSalary range: Rs Rs ie INR 2-10 LPA)Location: MumbaiJobType: full-timeRequirementsKey ResponsibilitiesManage all compliance aspects of Portfolio Management Services (PMS) in line with regulatory requirements.Review and ensure timely submission of all regulatory filings and submissions, while maintaining accurate...
-
Compliance Manager
4 days ago
Mumbai, Maharashtra, India Premier Consultants Full time ₹ 12,00,000 - ₹ 36,00,000 per yearCurrently we are hiring Compliance Manager for NBFC Industry.Role: Compliance ManagerLocation: Mumbai Lower ParelIndustry: Banking / Financial ServicesJob Summary:We are looking for an experienced Compliance and Risk Management professional to oversee regulatory adherence and internal control frameworks across business functions. The ideal candidate will be...
-
Compliance Manager
7 days ago
Mumbai, Maharashtra, India Weekday (YC W21) Full time ₹ 15,00,000 - ₹ 25,00,000 per yearThis role is for one of our clientsIndustry: FinanceSeniority level: Associate levelLocation: MumbaiJobType: full-timeWe are looking for a meticulous and proactiveCompliance Manager – PMSto oversee all regulatory and compliance functions related to our Portfolio Management Services. This role is critical in ensuring end-to-end adherence to SEBI...
-
Compliance Manager
6 days ago
Mumbai, Maharashtra, India Intellectual Capital Hr Consulting Full time ₹ 9,00,000 - ₹ 12,00,000 per yearRole & responsibilitiesRoles 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...
-
Compliance Manager
2 days 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
2 days 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...
-
IT Compliance Manager
2 days ago
Mumbai, Maharashtra, India Saraswat Bank Full timeJob Title: IT Compliance Manager (Mid-Level)Department: Compliance / Information TechnologyLocation: MumbaiReporting To: Chief Compliance OfficerJob Purpose:To ensure the banks IT systems, processes, and infrastructure comply with applicable regulatory requirements, internal policies, and industry standards. The role involves managing IT compliance programs,...
-
Compliance Manager
2 days ago
Mumbai, Maharashtra, India Godrej Infotech Full time ₹ 9,00,000 - ₹ 12,00,000 per yearRole: Information Security Compliance ManagerGeneral Summary:This role will work to identify risk and ensure compliance with industry standards, relevant laws and regulations, and industry best practices. This position also assists in maintaining and developing appropriate policies, procedures, and documentation to maintain compliance with applicable...