Compliance Officer - Mumbai

The compliance officer monitors the firm's day-to-day compliance with stock exchanges and depositories. · The compliance officer responds to surveillance notices, · show cause notices,and adjudicating orders from SEBI,BSE,NSE,M CX,and CDSL. · ...

We are looking for a Compliance Officer to oversee and enforce regulatory compliance throughout the organization. · ...

We are seeking a detail-oriented and experienced Compliance Officer to oversee and enforce regulatory compliance across the organization. · Develop, implement, and monitor compliance programs, policies, and internal controls · Ensure adherence to financial regulations, · industry ...

Job summary · Our client, a leading Investment Bank is looking to hire a qualified Company Secretary with 6–10 years of post-qualification experience for their Mumbai Office. · ...

+This is a requirement for one of the Workassist Hiring Partner. · +Experience in handling SEBI related compliances either in AMC of any other financial institution · , Experience of handling RBI & IRDA related compliance will be preferred. · , Woking in compliance team of a Bank ...

The Compliance Officer serves as the Single Point of Contact for all compliance activities within the SEBI (Mutual Funds) Regulation with respect to MF Lite business (passive scheme). This role ensures strict adherence to regulatory guidelines, coordinates with directors and key ...

We are seeking a highly skilled and detail-oriented · Compliance Officer · to lead the identification, assessment, · and mitigation of risks, ...

We are seeking a highly skilled and detail-oriented Compliance Officer to lead the identification, assessment, · and mitigation of risks, · and to ensure full compliance with applicable laws, · regulations, · and internal policies relevant to an NBFC operating in the fintech spac ...

The IT Compliance Officer reports to the Head of IT Audit Coordination APAC based in Singapore. · ...

Manage Compliance aspects of Portfolio Management Services. Ensure compliance with SEBI (Portfolio Managers) Regulations, 2020, and other applicable laws. · Ensure compliance with SEBI (Portfolio Managers) Regulations, 2020, and other applicable laws. · Monitor and implement chan ...

We are looking for a highly skilled and experienced Compliance Officer to join our team at 1 Finance. · ...

The Compliance Officer serves as the Single Point of Contact for all compliance activities within the SEBI (Mutual Funds) Regulation with respect to MF Lite business (passive scheme). This role ensures strict adherence to regulatory guidelines, coordinates with directors and key ...

The Compliance Officer will be responsible for end-to-end fund administration, investor servicing, compliance, and coordination with key stakeholders. The role requires strong regulatory understanding, financial acumen, and client-facing capability. · ...

The Compliance Officer will handle Investor Grievance Redressal on SEBI SCORES and Exchange platforms, prepare and file monthly returns with SEBI and Exchanges, · ensure full PIT compliance including SDD maintenance, · ...

We are looking for a motivated Law Graduate (LLB) to assist in managing the compliance portal and supporting corporate legal functions. · Managing and updating the compliance portal and related records · Coordinating with teams, consultants, and authorities for compliance require ...

The compliance officer ensures company law. · The compliance officer monitors firm's day-to-day compliance with stock exchanges. · ...

This position offers an excellent opportunity for individuals with a keen interest in corporate governance and compliance to develop their skills and contribute to the growth and success of our organization. · ...

Data entry transaction processing maintaining records handling documentation preparing MIS reports coordinating with internal teams managing emails supporting audits ensuring accuracy and confidentiality. · ...

+The job entails ensuring regulatory compliance and governance within the Loan Against Securities (LAS) framework. The ideal candidate will have expertise in RBI Master Directions for NBFCs, LAS-related regulatory norms, and SEBI/NSDL/CDSL depository operations. · +Regulatory Com ...

In this role you will be responsible for leading the compliance function ensuring regulatory adherence managing SEBI interactions overseeing reporting and driving the compliance strategy across the organization. · ...