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Compliance Officer Jobs in India

Last updated: 1 day ago
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Compliance Officer

Compliance Officer

GRD SecuritiesAny, India
We are seeking a dynamic and experienced Senior Compliance Officer to join our Compliance team at GRD, a leading Indian stock broking firm. The successful candidate will be responsible for overseein...Show moreLast updated: 30+ days ago
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Compliance Officer

Compliance Officer

Aquis SearchMumbai, Maharashtra, India
Aquis Search is partnering with a leading global investment firm to hire a.This is a highly specialized role focused on.SEBI regulations, FPI (Foreign Portfolio Investment) compliance, and research...Show moreLast updated: 9 days ago
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Compliance Officer

Compliance Officer

Enrich MoneyIndia
Company OverviewEnrich Money is a well-established Wealth-Tech company, renowned for its all-encompassing investment and trading platform, ORCA. Accessible via both web and mobile devices, Enrich Mo...Show moreLast updated: 2 days ago
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SEBI Compliance Officer

SEBI Compliance Officer

Talent Corner HR ServicesMumbai, Maharashtra, India
₹40,000.00–₹60,000.00 monthly
A prominent and established player in the financial services sector this organization specializes in stock broking and related financial solutions. With a strong focus on trust transparency and clie...Show moreLast updated: 27 days ago
Chief compliance officer, Compliance Head, Compliance officer

Chief compliance officer, Compliance Head, Compliance officer

Michael PageGurgaon
Permanent
To work with one the world's leading housing finance company.NBFC that provides housing finance solutions primarily targeting middle and lower-income segments in India. Ensure the company adheres to...Show moreLast updated: 30+ days ago
Compliance Officer

Compliance Officer

Paradise Placement ConsultancySurat
₹200,000.00–₹420,000.00 yearly
Full-time
Responsible for the effective and efficient execution of all compliances with the provisions of the Companies Act and other statutes and bye-laws that are applicable to the organization.Facilitate ...Show moreLast updated: 30+ days ago
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Compliance Officer

Compliance Officer

WiproIndia
Shift : 12pm-9 : 30pm / 1pm-10 : 30pm Qualification : Company Secretary Location : Gurugram Title : Team Manager - Legal & Compliance Reports to : Senior Manager – Legal & Compliance Profile : You have...Show moreLast updated: 19 days ago
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Compliance Officer

Compliance Officer

EquirusIndia
We are looking out for a diligent, law-abiding, ethical, and meticulous Compliance Officer to join our team.Candidate shall be responsible for : Ensuring end to end compliance with provisions of the...Show moreLast updated: 6 days ago
Compliance Officer

Compliance Officer

Interpolitan MoneyGandhinagar, GJ, IN
Full-time
Quick Apply
We are seeking a highly skilled and experienced.GIFT City, regulated by the International Financial Services Centres Authority (IFSCA). The ideal candidate will be responsible for ensuring that the ...Show moreLast updated: 29 days ago
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Junior Compliance Officer

Junior Compliance Officer

Tetra ConsultantsIndia
Tetra Consultants is a management consulting firm headquartered in Singapore.Our corporate advisory wing specializes in international business set up, financial license applications, merger & acqui...Show moreLast updated: 6 days ago
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Regional Compliance Officer

Regional Compliance Officer

Dr Reddy's Laboratories LimitedHyderabad, Telangana, India
We are looking for a candidate working as.The ideal candidate should be a highly effective communicator and experienced compliance professional capable of collaborating with legal and business stak...Show moreLast updated: 27 days ago
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Senior Compliance Officer

Senior Compliance Officer

RupeekBengaluru, Karnataka, India
Rupeek Fintech is seeking a highly experienced and dynamic Compliance Officer to join our team.The Compliance Officer will play a critical role in ensuring the organization's adherence to regulator...Show moreLast updated: 1 day ago
Compliance Officer

Compliance Officer

RedeFin CapitalGurugram, Haryana, India
Key role of the candidate is to carry out the compliances under the Companies Act, 2013 and other applicable laws, handling legal cases, ensuring compliances under applicable insurance laws for cor...Show moreLast updated: 30+ days ago
Technical Compliance Officer

Technical Compliance Officer

ObliviousBengaluru, KA, IN
Full-time
Quick Apply
We live in the era of data and AI, but the most impactful data resides behind closed doors and red tape.Using it, which many do, risks undermining the privacy and confidentiality of users, customer...Show moreLast updated: 30+ days ago
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Chief Compliance Officer

Chief Compliance Officer

a client of Merrin & AssociatesKerala, India
CHIEF COMPLIANCE OFFICER Key Responsibilities : Regulatory Compliance : - Develop and implement compliance p...Show moreLast updated: 17 days ago
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Compliance Officer

Compliance Officer

SPTP Education India Private LimitedIndia
Job title COMPLIANCE OFFICER (Non-Sponsored Students)Function ComplianceResponsible to Head of UKVI ComplianceResponsible for Assistance in maintaining visas for non-sponsored students.JOB DESCRIPT...Show moreLast updated: 14 days ago
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Compliance Officer

Compliance Officer

Dawntech Electronics Pvt LtdIndia
Requirements : LLB Degree is must for this role.Good knowledge of legal requirements and procedures.Brilliant oral and written communication skills. Highly-analytical with strong attention to detail.Show moreLast updated: 20 days ago
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Chief Compliance Officer

Chief Compliance Officer

Virtuous Advisors & Resources Private Ltd (Virtuous Resources)Mumbai, Maharashtra, India
Ensure NBFC's 100% compliance with all applicable rules, laws and regulations under NBFC regulators.Conceptualize, design and monitor comprehensive Compliance Policy. To ensure that the organisation...Show moreLast updated: 10 days ago
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Compliance Officer

Compliance Officer

EverrenewChennai, Tamil Nadu, India
As a Compliance Officer, you will serve as a primary resource in measuring and enhancing compliance and anti-fraud programs across the assigned region. You will work closely with EVERRENEW stakehold...Show moreLast updated: 30+ days ago
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Compliance Officer

Compliance Officer

Cheran Group Of CompaniesCoimbatore, Tamil Nadu, India
Full-time
Responsible for identifying, assessing, monitoring, managing and reporting on compliance throughout the bank and ensuring compliance of the organizations activities in accordance with the applicabl...Show moreLast updated: 14 days ago
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Compliance Officer

Compliance Officer

GRD SecuritiesAny, India
30+ days ago
Job description

We are seeking a dynamic and experienced Senior Compliance Officer to join our Compliance team at GRD, a leading Indian stock broking firm. The successful candidate will be responsible for overseeing, managing, and ensuring that the firm adheres to regulatory requirements and internal policies, while proactively identifying and mitigating compliance risks. You will play a key role in advising senior management on regulatory matters and will be instrumental in shaping the compliance culture within the organization.

Key Responsibilities :

Regulatory Compliance :

Ensure the firm complies with the regulatory requirements set by SEBI, NSE, BSE, RBI, and other applicable bodies.

Prepare and submit mandatory reports and filings to SEBI, NSE, BSE, and other authorities within specified deadlines.

Monitor and stay up-to-date with changes in regulations and industry standards.

Policy Development & Implementation :

Develop, implement, and periodically review internal policies, procedures, and controls to align with current regulatory standards and best practices in the financial markets.

Risk Management :

Identify compliance risks and develop strategies to mitigate these risks through proper controls, training, and monitoring.

Handling investors grievance cases directly received from exchange(s) & preparing drafts reply and submitting the same to exchanges.

Audit & Reporting :

Coordinate and manage internal and external audits related to compliance. Prepare and submit compliance reports to the board and regulatory authorities as required.

Training & Awareness : Conduct regular training sessions for staff to raise awareness on compliance obligations, ethics, anti-money laundering (AML) policies, and other relevant compliance matters.

Investigation & Enforcement : Investigate potential breaches of compliance, fraud, or misconduct. Initiate corrective actions and ensure timely resolution of compliance issues.

Compliance Monitoring : Oversee the monitoring of transactions, trading activities, and the implementation of controls to detect and prevent non-compliance or unethical conduct.

Advisory Role : Provide strategic advice to senior management on compliance-related matters, including regulatory changes, risk assessments, and potential impacts on the firm’s operations.

Skills and Qualifications :

Educational Qualification :

Bachelor’s degree Finance or related field.

Certifications in Compliance, Risk Management, or related fields (e.g., CISA, CISM, or equivalent) will be an advantage.

Experience :

Minimum 3-5 years of experience in the compliance function, preferably in a stock broking firm.

Strong knowledge of Indian financial markets, stock broking regulations, and SEBI guidelines.

Experience with handling regulatory inspections, audits, and investigations.

Proven track record of developing compliance frameworks and implementing effective controls.

Key Skills :

In-depth knowledge of SEBI regulations, stock broking guidelines, KYC, and AML norms.

Strong analytical, problem-solving, and decision-making abilities.

Excellent communication skills (verbal and written) to interact with regulatory bodies, senior management, and clients.

Attention to detail and the ability to manage multiple tasks effectively.

Strong interpersonal skills with the ability to work collaboratively across different departments.

Key Skills

Risk and Compliance,Compliance and regulatory

Employment Type : Full-time

Department / Functional Area : HSE (Health / Safety / Environment)

Experience : 3 Years - 9 Years years

Vacancy : 1