3,100 Compliance jobs in India

This role is for one of the Weekday's clients

Salary range: Rs 1000 - Rs 4000 (ie INR 1-4 LPA)

Min Experience: 2 years

Location: Mumbai

JobType: full-time

Qualifications:

• Graduate in any discipline.

• Minimum of 2 years of relevant experience in a similar legal and compliance role.

• Candidates residing in the western suburbs will be preferred.
• Proven experience in legal documentation and coordination.

Requirements

• Attend court hearings and maintain accurate records of ongoing legal cases.
• Coordinate with external legal advisors to support case management and ensure timely updates.
• Draft and issue recovery letters and legal notices related to outstanding dues.
• Assist in ensuring organizational compliance with applicable laws and regulations.

• Legal Compliance
• Court Coordination
• Documentation & Record Keeping
• Drafting Legal Notices
• Communication & Coordination

The Process Associate will be responsible for, but not limited to, the following tasks:

• Review and draft agreements, along with other related documents such as board consents.
• Maintain accurate records related to the legal and operational structure of US entities, ensuring compliance with internal policies and US corporate law.
• Understand basic contractual concepts such as indemnification and limits of liability.
• Perform routine administrative tasks including uploading files, communicating with internal and external clients, maintaining log notes, photocopying, faxing, and scanning documents.
• Provide executive administrative support, handling confidential correspondence with a high degree of discretion and initiative.
• Ability to handle multiple processes concurrently.
• Manage legal invoices and ensure timely payment.
• Complete necessary forms ensuring entities are properly qualified in the US.
• Assist with project management tasks, ensuring accuracy and timely completion of assignments.
• Conduct special projects as assigned.
• Proactively address customer issues related to support requirements.

Qualifications: The ideal candidate should possess the following skills and qualifications:

• Total work experience: 1-3 years.
• Educational qualification: Associate degree in Law or a minimum of two years' related experience, or an equivalent combination of education and experience. Strong logical reasoning and analytical skills are a must.
• A passion for continuous learning and professional growth.
• Excellent communication skills (both oral and written).
• Strong computer skills, with proficiency in MS Office applications (especially Excel, Word, PowerPoint, and SharePoint).
• High attention to detail.
• Ability to work independently as well as in a team. Must be self-motivated, adaptable, and possess a positive attitude.
• Capability to manage multiple tasks simultaneously, keep accurate records, follow instructions, and comply with company policies.
• Strong proficiency in Microsoft Office, including advanced Excel, PowerPoint, and Internet research.
• Understanding of and commitment to maintaining client confidentiality.
• Ability to adapt to changes in the work environment, manage competing demands and deadlines, and handle frequent changes, delays, or unexpected events.

About The Role

We are looking for an experienced Company Secretary who will serve as a key support to the management team and ensure the organization’s full compliance with regulatory frameworks. In this role, you will be instrumental in overseeing our PMS, AIF, and Research Analyst compliance functions, working closely with senior leadership to ensure the company operates within all applicable SEBI regulations.

You’ll play a critical part in maintaining high standards of corporate governance, ensuring timely regulatory filings, and offering legal and strategic advice when needed. 

Experience: 2 –3 years of experience in compliance, corporate secretarial, legal, or governance roles, preferably in the financial services industry

Qualification: Qualified Company Secretary (CS) certification

Bachelor’s degree in Law, Commerce, Finance, or Business Administration (Master’s or MBA preferred).

Key Responsibilities:

1.Establishing and monitoring the compliance framework under the SEBI (Portfolio Managers) Regulations, 2020 pertaining to DPMS, NDPMS & Advisory under PMS. 

2. Establishing and monitoring the compliance framework under the SEBI (Alternative Investment Fund) Regulations, 2012 for a Category III open ended AIF. 

3.Establishing and monitoring the compliance framework under the SEBI (Research Analysts) Regulations, 2014 

4.Overseeing and complying with other applicable SEBI regulations like SEBI Insider Trading Regulations for building an effective compliance culture across numerous licenses within the organisation.

5.Co-ordination with the Board of Directors, management, registrar, transfer agents (RTA), stock exchanges and shareholders.

6.Maintenance of all statutory records, dealings, commercials, etc. adhering to regulatory requirements.

7.Proactively track policies, regulatory, or statutory changes and build appropriate compliance processes and seek timely approvals and uploading of the same on the Company’s website.

8.Provide legal, financial and strategic advice as required and liaise with external regulators and advisers such as lawyers and auditors.

9.Maintenance of compliance calendar and preparation of MIS for regulatory compliances for Board Reporting.

Interested candidates can send their resumes to and  

Job Title: Compliance Officer

Location: Noida

Employment Type: Full-Time

Job Purpose:

To ensure the organization complies with all applicable statutory, regulatory, and internal governance requirements. This includes overseeing internal processes, vendor risk, regulatory filings, and compliance training initiatives.

Key Responsibilities:

Compliance Audit and Reporting

• Conduct comprehensive reviews and maintain documentation to ensure adherence to regulatory requirements and internal standards.

Corporate Governance Review

• Evaluate the organization’s governance framework to ensure alignment with regulatory expectations and industry best practices.

Internal Controls and Process Audits

• Review and assess internal processes to identify control gaps and support the implementation of robust internal controls.

POSP Compliance Review

• Audit onboarding, training, and operations of Point of Sales Persons (POSPs) in accordance with applicable compliance guidelines.

Business Continuity and Disaster Recovery Review

• Support the implementation and testing of Business Continuity Planning (BCP) and Disaster Recovery (DR) frameworks.

Training and Awareness Programs

• Develop and conduct regular training sessions on AML/KYC norms, cybersecurity, and operational risk management.

Documentation for Regulatory Filings

• Assist in preparing and submitting timely, accurate documentation for statutory filings such as shareholding changes, periodic returns, etc.

Gap Analysis and Risk-Based Recommendations

• Conduct gap analyses to identify areas of non-compliance and provide tailored, risk-based recommendations.

Third-Party Vendor Due Diligence

• Perform compliance and risk assessments on third-party vendors to ensure appropriate controls are in place.

Preferred Qualifications:

• Company Secretary (CS) – Preferred
• Candidates with the following backgrounds will also be considered:
• LLB / LLM (Corporate Law / Compliance)
• Chartered Accountant (CA)
• MBA (Finance / Risk / Compliance)
• Graduate/Postgraduate in Commerce, Finance, or Business Law with relevant compliance or risk management experience

Preferred Skills & Experience:

• 4–10 years of experience in regulatory compliance, audits, or governance (preferably in insurance, financial services, or related sectors)
• Strong understanding of regulatory frameworks (IRDAI, SEBI, RBI, etc.)
• Excellent knowledge of corporate governance and internal control systems
• Strong documentation, communication, and presentation abilities
• Ability to collaborate across functions and manage multiple priorities effectively