Job Title: Compliance Manager Location: Santa Cruz East, Mumbai Mode of work: On-site Work shift: Day Shift (9.30 AM to 6.30 PM IST) We seek a Compliance Manager with expertise in financial compliance, SEBI, Legal regulatory aspects in asset management MFs/AMC/Broking/Equity/ or Banking/Insurance/Fintech for a leading Wealth Management firm, Mumbai. Qualification: BComCS/CACS/LLB. Required Candidate profile: Company Secretary with certifications in financial regulations and legal compliance with 5 to 10 years in Equity/MF/AMC/broking/fintech product distribution compliance, expert in SEBI/AMFI regulations Responsibilities: - Oversee the organization's compliance with government laws and regulations. - Coordinate with company management to identify potential risks related to compliance. - Develop and implement policies and procedures to uphold laws and regulations. - Ensure internal company policies are created and respected by all employees. - Establish a clearly defined program for compliance with the country's laws. - Provide regular reports to management regarding the organization's compliance status. - Take action to address noncompliance situations and develop realistic plans to overcome them. - Conduct regular audits to identify potential weaknesses and instances of noncompliance. - Communicate effectively with employees to ensure awareness of compliance requirements. - Stay updated on changes in laws and regulations relevant to the organization's operations. - Collaborate with legal and regulatory affairs teams to ensure alignment with compliance standards. - Provide training and guidance to employees on compliance-related matters. - Monitor industry best practices and recommend improvements to compliance processes. Requirements: - Proven experience in a compliance role, preferably within a regulated industry. - In-depth knowledge of government laws and regulations applicable to the organization. - Strong analytical and problem-solving skills. - Excellent communication and interpersonal abilities. - Ability to work independently and collaboratively within a team. - Attention to detail and strong organizational skills. - Ability to adapt to changing regulatory environments. - Integrity and ethical conduct in all aspects of work. - Proficiency in relevant compliance software and tools.

Mumbai

Navi Mumbai

Compliance Officer - BFS 

Job Description for Compliance Officer - BFS  in Pivot Human Capital in  Mumbai Navi Mumbai for (4-14) years of experience. Apply Now!