479 Banking Compliance jobs in India

Key Responsibilities:

Qualifications: 

Skills:

ABOUT GOLDMAN SACHS

At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.

We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at /careers.

We’re committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process.

Officer - Compliance Insurance Regulatory Submission

Key Responsibilities

• Regulatory Submissions – Ensuring all the regulatory submissions are periodically uploaded in IRDA portal post concurrence with relevant stakeholders (Ops, customer care, business products, finance, PO & Insurers)
• Aware of the process of submission of regulations which include new business submissions, schedules submissions, SP submissions, complaints submissions, financial statements submissions, compliance certificate as applicable and to submit the same to regulator with the stipulated timelines
• Registers Maintenance – to track, align, ensure and coordinate with respective business units, BIUteams for regulatory registers are maintained in appropriate format and needs to be submitted to IRDAI
• Communication to regulators as per regulations – All communications including branch opened & closed data, directorship change, regulatory charges levied etc to be notified.
• IIB Envoy Portal Update – All the salespersons, SP details needs to be uploaded, tracked and reviewed periodically
• IRDAI CA/ISNP/Envoy License Renewal – to ensure all the applicable licenses are availed, procured and renewed with the applicable timelines as per guidelines and to coordinate with relevant stakeholders on the licensing applicability, repository maintenance
• NOC issuance & Detagging Pan in IRDAI portal – Issuing NOC for exited SP’s and Detagging the PAN from IRDA & Envoy along with record keeping
• Telemarketer License – Application of telemarketing license as per guidelines and submission of regulatory data to IRDAI as per stipulated guidelines.
• Renewal ofIRDAI CA license, PO, ISNP, Envoy, any other licenses to be kept in track and to be renewed along with PO & relevant stakeholders
• Regulatory Checklist maintenance – Tracking the regulatory checklist (IRDAI Data maintenance, Registers, timely submissions, grievances, etc.,) completely along with stakeholders
• Reconciliations Tracking – To Coordinate with finance, product teams & insurers for reconciliation sign off every month. Ensuring the gaps identified in recon are followed up.
• Agreements maintenance – to maintain and track the agreements of insurers, SLA’s of insurers, Commission structure of insurers
• Grievance tracking/Data maintenance – to Track the grievances from grievance team, insurers and coordinating the resolution with insurers, business, product and branch team. To maintain the grievance register as per regulatory requirement.
• Audit Initiation for Branch & Tracking – To provide the Audit Checklist & To Coordinate with functional audit team and track the audit resolution for branches.
• Compliance check on AML – To provide the checklist to compliance team of MFL and to coordinate and track AML cases with internal & external stakeholders.
• Legal/Litigation Tracking – Bookkeeping the Litigation of insurance cases, open cases, updating the regulator as needed
• Any other activity as delegated by the management & supervisor from time to time

Expeirence : 4- 8 years in a similar domain

Entity name: InCred Alternative Investments Private Limited

Job Title: Compliance Officer for FME

Location: GIFT City, Gandhinagar, GJ.

Department: Compliance

Job Summary: The Compliance Officer will be responsible for ensuring adherence to regulatory

requirements, internal policies, and compliance frameworks. The role involves monitoring and

evaluating internal processes, coordinating regulatory approvals, and ensuring compliance with

guidelines set by the IFSCA and other regulatory bodies.

Key Responsibilities:

 Develop, implement, and monitor the fund’s compliance policies, procedures, and controls.

Ensure the fund’s strict adherence to IFSCA, and other regulatory frameworks/reporting’s.

 Ma e AML/KYC requirements, periodic regulatory filings, reports, and investor complaint

resolutions.

iaise with regulators and external auditors, handling audits, inspections, and

correspondence.

egularly update the board and senior management on regulatory changes and compliance

matters.

aintain thorough documentation and up-to-date compliance records.

Candidate Profile & Eligibility:

ualified Company Secretary / LLB

t least 3 years' relevant experience in compliance, legal, risk management, or related roles

in financial services or asset management.

rior experience with SEBI/IFSCA/RBI submissions, audits, and regulatory inspections

preferred.

A leading Villa Management Company is looking to hire a Compliance Officer.

Candidates should be proactive, organized, and deadline-oriented. Prior experience in hospitality will be an added advantage.

Key responsibilities:

LICENSING & DOCUMENTATION- Manage applications, renewals, and updates for hospitality licenses.

TOURISM DATA & STATUTORY SUBMISSIONS  - Prepare and upload mandatory tourism data.

AGREEMENTS & LEGAL COORDINATION- Draft, review, and maintain compliance-related agreements. Coordinate with notaries and legal offices for document attestation, stamping, and registrations.

COORDINATION & COMMUNICATION- Coordinate with local authorities, government departments, for timely submissions and approvals.

Salary Range: INR 22000 to INR 25000

POSITION OPEN FOR GOA- BASED CANDIDATES ONLY.

IF THIS OPPORTUNITY ALIGNS WITH YOUR EXPERIENCE OR YOU KNOW SOMEONE WHO FITS THE ROLE, FEEL FREE TO CONNECT ON

Job Description: Compliance Officer

Position Overview

We are seeking an experienced and detail-oriented Compliance Officer to manage and oversee all regulatory, legal, and compliance matters in our business. The Compliance Officer will ensure adherence to SEBI, NSE, BSE, CDSL/NSDL, and other statutory requirements while building a strong internal compliance culture.

Key Responsibilities

- Ensure compliance with SEBI, Exchanges (NSE, BSE, MCX, etc.), and Depositories (CDSL/NSDL) regulations.

- Draft, review, and implement internal compliance policies and procedures in line with regulatory updates.

- Monitor day-to-day operational activities to identify potential regulatory risks.

- File periodic reports, returns, and disclosures to SEBI, exchanges, and depositories on time.

- Conduct regular audits, inspections, and reviews of KYC, client onboarding, risk management, surveillance, and trading operations.

- Assist in regulatory inspections, audits, and inquiries by SEBI, exchanges, or statutory bodies.

- Ensure timely dissemination of regulatory circulars and guidelines to relevant teams.

- Conduct compliance training sessions for employees to strengthen adherence to laws and regulations.

- Maintain and update compliance manuals and records in accordance with statutory requirements.

- Report compliance breaches or potential risks to senior management and recommend corrective measures.

Qualifications & Requirements

- Graduate in Commerce, Finance, Law, or a related field (postgraduate or professional certifications like CS, CA, or LLB preferred).

- Minimum 5–7 years of experience in compliance within stock broking, capital markets, or financial services.

- Strong knowledge of SEBI regulations, exchange guidelines, and depository rules.

- Familiarity with Anti-Money Laundering (AML), PMLA, and KYC regulations.

- Excellent communication, analytical, and problem-solving skills.

- Ability to handle regulatory inspections and audits independently.

Key Skills

- Regulatory & Statutory Compliance

- Attention to Detail

- Risk Management & Internal Control

- Reporting & Documentation

- Stakeholder Coordination

- Ethics & Integrity

Reporting Structure

- The Compliance Officer will report directly to the Principal Officer/CEO/Managing Director and coordinate closely with compliance teams at exchanges and regulators.

Location

- Ranchi - Jharkhand

Employment Type

- Full-time, On-site

• Ensure compliances with respect to SEBI Guidelines.
• Monitoring changes in relevant legislation and the regulatory environment and taking appropriate action.
• Carrying out periodic reviews to ensure legal compliances of trading membership (like exchange compliances, SEBI compliances, Companies Act)
• Assisting the team in organizing, preparing agenda for and recording minutes of board meetings and general meetings.

Our Client: A leading full-service investment firm offering tailored financial solutions backed by deep market research, strong ethical values, and a client-first approach. The firm specializes in equity strategies through PMS and AIF platforms, focusing on long-term wealth creation with an emphasis on discipline, transparency, and simplicity. Its investment philosophy is rooted in insightful analysis, aiming to preserve and grow clients’ wealth through consistent and well-researched strategies.

Designation: Compliance Officer

Location: Gift City

Education: Company Secretary + LLB (optional)

Experience : Minimum 5 Years

About the Role:

The Compliance Officer role is focused on ensuring adherence to SEBI and IFSCA regulations, particularly for Alternative Investment Funds (AIFs). The position requires a qualified Company Secretary with a minimum of 5 years of experience in the securities market, with an LLB as an added advantage. Key responsibilities include regulatory reporting, internal audits, AML/CFT compliance, coordination with custodians and fund administrators, and reviewing legal agreements. The role demands strong knowledge of regulatory frameworks, excellent communication skills, and a high level of attention to detail, along with the ability to work closely with senior management and regulatory authorities.

Requirements:

• Company Secretary + LLB (optional) having 5 years of experience in Securities Market (5 years is must as per IFSCA Regulations).
• Regulatory Compliance: Stay updated with the latest laws, regulations, and guidelines issued by SEBI and IFSCA for AIFs. Monitor regulatory changes and effectively communicate updates to relevant stakeholders.
• Compliance reporting and monitoring: prepare and submit accurate and timely regulatory reports as required by SEBI and IFSCA.
• Ensure the completeness and accuracy of data submitted in these reports.
• Establish and maintain a system for ongoing monitoring of compliance activities related to AIF operations.
• Conduct regular audits and assessments to identify areas of non-compliance or potential risks. Implement remedial measures as needed.
• Managing Internal Audits.
• AML/CFT compliance and monitoring.
• Coordination with Custodian/Fund Accountant/Fund Admin.
• Review/drafting of legal agreements.

Behavioral:

• Good understanding of Regulatory and Legal affairs of SEBI Compliances.
• Excellent English verbal and drafting communication skills.
• Attention to detail and collaborative approach.

Key Stakeholders:

• Senior Management.
• Department Heads.
• SEBI, Depository, Stock Exchanges etc.
• Other departments etc.

Entity name: InCred Alternative Investments Private Limited

Job Title: Compliance Officer for FME

Location: GIFT City, Gandhinagar, GJ.

Department: Compliance

Job Summary: The Compliance Officer will be responsible for ensuring adherence to regulatory

requirements, internal policies, and compliance frameworks. The role involves monitoring and

evaluating internal processes, coordinating regulatory approvals, and ensuring compliance with

guidelines set by the IFSCA and other regulatory bodies.

Key Responsibilities:

 Develop, implement, and monitor the fund’s compliance policies, procedures, and controls.

Ensure the fund’s strict adherence to IFSCA, and other regulatory frameworks/reporting’s.

 Ma e AML/KYC requirements, periodic regulatory filings, reports, and investor complaint

resolutions.

iaise with regulators and external auditors, handling audits, inspections, and

correspondence.

egularly update the board and senior management on regulatory changes and compliance

matters.

aintain thorough documentation and up-to-date compliance records.

Candidate Profile & Eligibility:

ualified Company Secretary / LLB

t least 3 years' relevant experience in compliance, legal, risk management, or related roles

in financial services or asset management.

rior experience with SEBI/IFSCA/RBI submissions, audits, and regulatory inspections

preferred.