For a Leading Broking house and a leading AMC - looking for Compliance Manager/Sr Manager (Leads) Key Responsibilities: - Assist in the development, implementation, and maintenance of compliance policies and procedures in accordance with SEBI regulations. - Conduct regular compliance reviews and audits to ensure adherence to regulatory requirements and internal policies. - Monitor regulatory developments and assess their impact on the company's operations, providing guidance and recommendations as necessary. - Assist in the preparation and submission of regulatory filings and reports, ensuring accuracy and timeliness. - Conduct employee training on compliance-related matters and provide ongoing support and guidance to ensure understanding and adherence to regulatory requirements. - Investigate and resolve compliance issues, including conducting internal investigations and implementing corrective actions as needed. - Collaborate with internal teams, including legal, risk management, and operations, to address compliance-related concerns and implement best practices. - Stay informed about industry trends and best practices in compliance, contributing to the continuous improvement of compliance processes and procedures. Skills and Expertise: - A bachelor's degree in business law, finance, capital markets or a related field; an advanced / post graduate degree like LLB, CA or CS is preferred. - Aggregate work experience of 4 - 10 years in compliance, regulatory affairs, or a related field. - Strong understanding of relevant laws, regulations, and industry standards. - Excellent analytical skills and attention to detail. - Effective communication skills, both written and verbal. - Proactive approach to problem-solving and the ability to work both independently and collaboratively in a team environment. - Ability to handle confidential information with discretion and professionalism. - Proficiency in MS Office suite, particularly Excel, Word, and PowerPoint.

Mumbai

Senior Manager/Chief Manager - Compliance - BFSI 

Job Description for Senior Manager/Chief Manager - Compliance - BFSI  in The Growth Partners (TGP) in  Mumbai for (4-10) years of experience. Apply Now!