7 Pivot Human Capital Jobs
Compliance Officer - BFS (4-14 yrs)
Pivot Human Capital
posted 29d ago
Key skills for the job
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.
Functional Areas: Other
Read full job description5-8 Yrs
Delhi ncr, Mumbai, Hyderabad / Secunderabad +4 more