Compliance Manager

2 days ago

Mumbai, Maharashtra, India Intellectual Capital Hr Consulting Full time ₹ 1,04,000 - ₹ 1,30,878 per year

Role & responsibilities

Position: Compliance Manager

Roles 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 SEBI, BSE, NSE, MCX, and CDSL.

  • Handling inspections

The compliance officer handles SEBI and stock exchange inspections.

  • Coordinating with internal departments

The compliance officer coordinates with internal departments to ensure timely submission of data to regulatory bodies.

  • Staying updated

The compliance officer stays updated on amendments in SEBI and stock   exchange compliance regulations.

  • Training employees

The compliance officer organizes regular training sessions for employees to   communicate key regulatory changes and updates.

  • Managing risk

The compliance officer plays an active role in managing a firm's risk and  reducing financial crime.

  • Ensuring compliance with company law

The compliance officer ensures compliance with Company Law Board  requirements.

  • Assistant

    7 days ago

    Mumbai, Maharashtra, India Compliance Sathi Full time ₹ 4,00,000 - ₹ 8,00,000 per year

    Company 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...

  • Compliance Manager

    2 weeks ago

    Mumbai, Maharashtra, India SKS Enterpprises - Human Resource Planning and Management Full time

    Position Name - Compliance Manager - Mutual FundLocation - MumbaiExperience Range 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 Responsibilities:Oversee...

  • Compliance Manager

    5 days ago

    Mumbai, Maharashtra, India ABCD Aditya Birla Capital Digital Full time ₹ 9,00,000 - ₹ 12,00,000 per year

    Organizational ContextABC Digital has been incorporated as a wholly owned subsidiary of Aditya Birla Capital in 2023 to engage in distribution of Aditya Birla Capital products and providing services to customers, including web-based services, e-commerce, and payments facilities and allied activities. ABC Digital is developing an omni-channel based D2C...

  • Compliance Manager

    1 week ago

    Mumbai, Maharashtra, India SKS Enterpprises - Human Resource Planning and Management Full time

    Position 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

    Position Name - Compliance Manager - Mutual Fund Location - Mumbai Experience Range - 8-10 years, preferably from a Trustee background 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...

  • Compliance Manager

    7 days ago

    Mumbai, Maharashtra, India SKS Enterpprises - Human Resource Planning and Management Full time ₹ 15,00,000 - ₹ 20,00,000 per year

    Position 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

    7 days ago

    Mumbai, Maharashtra, India SKS Enterpprises - Human Resource Planning and Management Full time ₹ 15,00,000 - ₹ 20,00,000 per year

    Position 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...

  • Compliance Manager

    7 days ago

    Mumbai, Maharashtra, India Godrej Infotech Full time ₹ 9,00,000 - ₹ 12,00,000 per year

    Role: 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...

  • Manager - Compliance

    2 weeks ago

    Mumbai, Maharashtra, India Tata AIA Life Full time

    Job DescriptionRole descriptionPosition Overview:Position TitleManager - ComplianceDepartmentComplianceLevel/Band401LocationMumbaiReports toAssistant Vice President - ComplianceRole Summary:.Provide extensive legal search and evaluating industry benchmark to opine on various business initiatives and legal provisions..Review product and marketing...

  • Compliance Manager

    1 week ago

    Mumbai, Maharashtra, India beBeeRegulatory Full time ₹ 80,00,000 - ₹ 1,00,00,000

    Compliance ManagerThis key role is responsible for ensuring ongoing adherence to all applicable regulatory guidelines.Regulatory ComplianceEnsure timely and accurate filing of periodic returns and reports as per RBI regulations.Handle submission of ad hoc regulatory data requests and maintain liaison with RBI officials for compliance-related matters.The...