229 Compliance Management jobs in Mumbai

Job Description

The Position

• The Specialist of Compliance & Risk Management will be responsible for the compliance aspects of computerized systems and supporting infrastructure to ensure compliance with company policies, procedures, and regulatory expectations.

• The Specialist of Compliance & Risk Management is responsible for supporting the organization’s compliance with the Sarbanes-Oxley Act by evaluating and documenting IT General Controls (ITGC) and related processes. This role works closely with IT, Internal Audit, and external auditors to ensure the effectiveness of controls over financial reporting.

• The Specialist of Compliance & Risk Management must conduct their function and roles independently, with integrity, fairness, and objectivity to protect products and patients.

Responsibilities

• The Specialist will manage the change management to ensure compliance.

• Ensure that the SOX ITGC Controls were identified and addressed for the deployment / update, working in partnership with other ESQ&C areas.

• Perform risk assessments and identify key ITGCs related to access management, change management, and IT operations.

• Assist in the design, implementation, and documentation of IT controls.

• Collaborate with control owners to remediate deficiencies and improve control effectiveness.

• Support internal and external audit teams during SOX audits.

• Monitor changes in IT systems and processes that may impact SOX compliance.

• Provide training and guidance on SOX compliance requirements.

• Reviewing processes and supporting documentary evidence to verify that compliance activities related to computerized systems are in place and effective.

Required Education, Experience, and Skills

• Bachelor's degree.  Preferably Information Systems, Computer Science, Accounting or equivalent.

• Preferable Professional certifications such as CSOPTM or equivalent

• Fluent English Speaker

• Hands-on experience and understanding of systems supporting pharmaceutical companies

• At least 3 years of experience IT audit, SOX 404 compliance, or IT risk management.

• Familiarity with frameworks such as COBIT, NIST, or ISO 27001.

• Strong understanding of ITGCs and their role in financial reporting.

• Good understanding of the current pharmaceutical industry and applicable regulations (FDA/EU/ICH), with emphasis in 21 CFR Part 11, 210, 211 and 820 and local regulatory expectations.

• Must demonstrate working knowledge of the principles, theories and concepts of computerized system validation / compliance.

• Familiarity or practical experience in the implementation of systems in a pharmaceutical company

• Limited supervision required in day-to-day activities.

• Excellent analytical, communication, and documentation skills.

Preferred Education, Experience, and Skills

• Operate as part of a self-directed team in carrying out day to day functions and assigning priorities

• Good understanding of applicable Standards related to computerized systems development, implementation & Operations.

• Business engagement skills, with ability to collaborate with both technical and non-technical roles.

• Multi-lingual capabilities preferred.

• Experience supporting regulatory inspections.

• Excellent oral and written communication skills including persuading others and developing cross functional relationships.

• Analytical problem-solving skills applied to issue identification and resolution.

• Listening, integrating diverse perspectives, adds value to the achievement of team goals.

• Timely decision making.

• Project management skills combined with a since of urgency and a proven history producing quality deliverables.

• Ability to respond to changing priorities.

• Inclusion behaviors.

Secondary Job Description

Who We Are:

Organon delivers ingenious health solutions that enable people to live their best lives. We are a $6.5 billion global healthcare company focused on making a world of difference for women, their families and the communities they care for. We have an important portfolio and are growing it by investing in the unmet needs of Women’s Health, expanding access to leading biosimilars and touching lives with a diverse and trusted portfolio of health solutions.  Our Vision is clear: A better and healthier every day for every woman.

As an equal opportunity employer, we welcome applications from candidates with a diverse background. We are committed to creating an inclusive environment for all our applicants. 

Annualized Salary Range

Annualized Salary Range (Global)

Annualized Salary Range (Canada)

Please Note: Pay ranges are specific to local market and therefore vary from country to country.

Employee Status:

Relocation:

VISA Sponsorship:

Travel Requirements: Organon employees must be able to satisfy all applicable travel and credentialing requirements, including associated vaccination prerequisites

Flexible Work Arrangements:

Shift:

Valid Driving License:

Hazardous Material(s):

Number of Openings:

This role is for one of Weekday’s clients
Min Experience: 3 years
Location: Mumbai
JobType: full-time

Requirements

We are looking for a highly motivated and detail-oriented Compliance Professional with at least 3+ years of experience in compliance and company secretarial functions, preferably within the financial services or wealth management sector. The role involves overseeing compliance aspects across Investment Advisory (RIA), Distribution, and Non-Discretionary Portfolio Management Services (ND PMS) . The ideal candidate will ensure that all regulatory requirements are met in a timely and accurate manner while maintaining a strong governance framework.

This role demands strong knowledge of SEBI, AMFI, and other applicable regulatory frameworks , hands-on experience in company secretarial work, and the ability to liaise effectively with internal teams, regulators, and external advisors. The candidate will be a key partner in supporting business growth while safeguarding the organization’s integrity, compliance, and ethical standards.

• Regulatory Compliance & Filings
• Ensure all statutory filings and regulatory submissions are completed accurately and on time.
• Maintain updated records of compliance activities, approvals, and reporting requirements.
• Track regulatory deadlines and ensure compliance calendars are adhered to.
• Policy & Regulatory Updates
• Review, update, and maintain internal compliance policies in line with evolving regulatory requirements.
• Interpret new SEBI/AMFI circulars and guidelines, communicate changes to relevant teams, and ensure effective implementation.
• Transaction & Advisory Oversight
• Ensure that all Investment Advisory, Distribution, and ND PMS transactions are executed in compliance with regulatory frameworks.
• Provide guidance to teams to align practices with statutory and regulatory expectations.
• Regulatory & Audit Engagement
• Build and maintain strong relationships with regulators .
• Manage the firm’s responses to inspections, audits, and regulatory observations.
• Ensure internal and external audits are completed on time and findings are addressed.
• Compliance Support & Documentation
• Provide compliance opinions and support for day-to-day business activities.
• Review contracts, agreements, and documentation to ensure regulatory and legal compliance.
• Ensure all third-party providers have valid contractual relationships in place.
• Training & Awareness
• Conduct regular compliance training and updates for employees on AML, Insider Trading, and other key compliance areas.
• Build awareness across Sales, Advisory, Product, and Operations teams to ensure end-to-end compliance.
• Governance & Secretarial Work
• Support company secretarial responsibilities , ensuring adherence to corporate governance standards.
• Liaise with external law firms and company secretarial advisors as needed.
• Surveillance & Risk Management
• Monitor and review compliance alerts, taking timely corrective actions.
• Identify compliance risks proactively and recommend mitigations.

• 3+ years of experience in compliance, preferably in wealth management, investment advisory, or financial services.
• Strong knowledge of SEBI, AMFI, and other regulatory frameworks relevant to RIA, Distribution, and PMS.
• Practical experience in company secretarial work and governance practices .
• Hands-on experience with regulatory filings, audits, and inspections .
• Excellent communication, negotiation, and relationship management skills.
• Strong analytical, documentation, and problem-solving abilities.
• Ability to work collaboratively across business, legal, and regulatory functions.
• Qualification: Company Secretary (CS), LLB, or relevant professional degree in finance/compliance preferred.

Primary Job Function:

To lead and manage all regulatory affairs activities at the manufacturing site located at Mumbai and LL locations, ensuring timely regulatory submissions, compliance with regulations, and providing strategic support to institutional and international business operations. The role is critical to maintaining business continuity and regulatory compliance.

Core Job Responsibilities:

Position Accountability/Scope:

Minimum Education:

B.Pharm / M.Pharm / M.Sc. or equivalent in pharmaceutical or life sciences discipline.

Minimum Experience/Training Required:

Join our team to lead the implementation of AML and anti-corruption initiatives in India. Work closely with business and compliance teams to ensure adherence to firm policies and local regulations.

Job summary
As the Compliance Risk Management Lead in the CCOR team, you will be responsible for implementing the firm’s AML and anti-corruption programme in India for the Corporate and Investment Banking businesses. Collaborate with business, location Compliance, and Line of Business Compliance to ensure programmes are aligned with firm policies, standards, and local laws.

Job responsibilities

Required qualifications, capabilities, and skills

Preferred qualifications, capabilities, and skills

Competencies:

About Angel One:

Angel One is one of India''s fastest growing fin-techs, on a bold mission to make investing simple, smart, and inclusive for every Indian. With over 3+ crore clients, were building at scale and building for impact.

Our Super App helps clients manage their investments, trade seamlessly, and access financial tools tailored to their goals. We are working to build personalized financial journeys for our clients, powered by new-age tech, AI, Machine Learning and Data Science.

We're a builder's company at heart. Youll have the space to experiment, the freedom to move with velocity, and the mandate to make bold, user-first decisions – every single day.

The vibe? Think less hierarchy, more momentum. Everyone's got a seat at the table and a shot to build something that lasts.

Be part of a team that's moving fast, thinking big, and building for the next billion.

Why You'll Love Working at Angel One

• Ranked Top 20 Companies to Work in India: We're proud to be recognized as one of the best workplaces, certified for 9 consecutive years.
• Innovation Runs Deep: From AI to real-time data infra, you'll work on tech that's ahead of the curve and solve problems that truly matter.
• Build India's #1 Fintech Platform: We're not just disrupting finance – we're shaping how the next billion Indians access wealth.
• Own It. Drive It. Scale It: You'll have the freedom to lead, the resources to build, and the opportunity to leave your mark.

Job Title: AVP - Regulatory Compliance

Location: Mumbai

The AVP - Regulatory Compliance will oversee the compliance framework across multiple financial services verticals including Stock Broking, Depository Participant (DP), Portfolio Management Services (PMS), Investment Advisory (IA), Research Analyst (RA), and Mutual Fund Distribution (MFD).

The role ensures adherence to all applicable regulatory requirements and promotes a strong culture of compliance and governance.

What you will do:

Regulatory Compliance:

• Ensure compliance with SEBI, NSE, BSE, NSDL, CDSL, AMFI, and RBI regulations.
• Monitor regulatory updates and implement necessary changes.
• Prepare and submit statutory reports, disclosures, and returns.
• Maintain regulatory correspondence and inspection readiness.

Internal Compliance Monitoring:

• Conduct internal audits and compliance reviews.
• Identify and mitigate compliance risks across business units.
• Maintain compliance dashboards and escalate issues as needed.

Policy & Process Management:

• Draft and update compliance policies, SOPs, and manuals.
• Ensure operational alignment with regulatory expectations.
• Implement and monitor risk-based compliance frameworks.

Training & Awareness:

• Conduct regular compliance training and awareness programs.
• Foster a culture of ethical conduct and regulatory discipline.

Liaison & Coordination:

• Act as the primary liaison for regulatory inspections and audits.
• Coordinate with internal departments for compliance-related matters.
• Respond to regulatory queries and notices in a timely and accurate manner.

Who you are:

• Preferred Qualifications: Chartered Accountant (CA), Company Secretary (CS), or Bachelor of Laws (LLB).
• Experience: Minimum 10 years of relevant experience in compliance roles within capital markets, preferably across multiple verticals such as Stock Broking, DP, PMS, IA, RA, and MFD.
• Certifications: NISM Certifications (Series IIIA VI, VII).

What's in it for You?

• Flexible work model: Whether you're remote, hybrid, or in-office, we trust you to work where you thrive and deliver with impact.

• Empowered Growth: We invest in your growth and empower you to explore your full potential.

• Exceptional Benefits: Our comprehensive benefits package includes health insurance, wellness programs, learning & development opportunities, and more.

For a deeper dive into our company culture and vision, explore our Company Deck.

At Angel One, our thriving culture is rooted in Diversity, Equity, and Inclusion (DEI).

As an Equal opportunity employer, we wholeheartedly welcome people from all backgrounds irrespective of caste, religion, gender, marital status, sexuality, disability, class or age to be part of our team.

We believe that everyone's unique experiences and viewpoints make us stronger together.

Come and be a part of #OneSpace*, where your individuality is celebrated and embraced.

We believe that everyone's unique experiences and viewpoints make us stronger together. Come and be a part of #OneSpace*, where your individuality is celebrated and embraced.

Key Responsibilities:

Assist in the onboarding, documentation, monitoring, surveillance for Authorised Persons /

Affiliates/ Referral Partners including meeting them physically if required.

Conduct regular compliance audits and assessments to identify potential risks and areas for

improvement for Authorised Persons/Affiliates/ Referral Partners.

Prepare and submit regulatory filings, reports, and documentation as required by SEBI.

Responsible for conducting regular training to the Business development team and Authorised

Persons on compliance-related matters and promoting a culture of compliance within the

organization.

Collaborate with internal teams to gather necessary information for compliance reviews and

audits.

Maintain accurate records of compliance activities and findings.

Support the senior compliance team in conducting investigations into compliance breaches and

implementing corrective actions.

Occasional traveling might be required.

Qualifications:

Bachelors degree in Finance, Business Administration, Law, or a related field with minimum 5-7

years of experience

Familiarity with SEBI regulations and compliance requirements.

Strong analytical skills and attention to detail.

Excellent written and verbal communication skills.

Proficiency in Microsoft Office Suite (Excel, Word, PowerPoint).

Preferred Skills:

Previous experience in compliance, risk management, or a related field is a plus.

Knowledge of financial markets and investment products.

Regulatory Compliance Manager will be responsible for managing the continued development and implementation of a global trade compliance program.

Investigative skills will be applicable in managing trade compliance with other countries, as needed.

Acting as a regional trade compliance representative, you will maintain an active role in assuring compliance of import/ export activities in the company owned subsidiaries and offices in APJ. In respect of Customs regulations and import/export licence controls.

Apply continuity with the global trade compliance programs by country.

You will be responsible for identifying, prioritizing and addressing trade compliance risk and Customs compliance risk.

The initial focus of the Regulatory Compliance Manager is Export Control matters. This includes resolving potential DPL matches, transactional work with stakeholders, review of compliance holds on strategic or controlled goods-based end use/end user. The Regulatory Compliance Manager is responsible for collating and analyzing metrics related to export controls. The job will also involve supporting integration of systematic export controls into ERP systems. The role will develop and extend into areas of Customs (import/export) operational controls and will be responsible for process improvement and productivity improvements in that area.

• Be a subject matter expert and escalation person for matters related to trade compliance – export control, sanctions, Customs compliance.

• Be a facilitator to design and implement improved trade compliance programs working with vendors, brokers, and related internal and external business partners.

• Communicating and meeting with relevant Government authorities as needed.

• Complete timely and compliant transaction controls and reviews.

• Prepare and present relevant data analytics to support decision making

• Backup other APJ Trade Compliance activities, if required.

• The role will not line manage staff

• 5 to 8 Years of relevant international trade, import and export experience.

• University Degree or equivalent. Major in Legal, International Trade, Logistics or relevant preferred. Optional for candidates who has more relevant experience.

• Experience on Technology sector.

• Good technical and practical knowledge in customs and export control regulations in India, experience in Asia Pacific is a plus.

• Knowledge of US Export Administration Regulation and APJ Import and Export regulations.

• Operates without supervision within established guidelines.

• High level of independent thinking and problem-solving capabilities

• Able to identify and address potential risk at trade compliance

• Good IT skills (Microsoft office applications etc.).

• Able to provide interpretation of Regulations to internal and external business partners

• Able to converse and write effectively in English. Able to speak/ read in second language with Asia Pacific is an advantage but not mandatory.

• Possesses strong multi-cultural interpersonal skills.

• Able to constructively work under stress and pressure when faced with high workloads and deadlines.

• Able to maintain and promote social, ethical, and organizational standards in conducting internal and external business activities.

• Able to maintain confidentiality of sensitive information.

• Able to build solid, effective working relationships with others.

• Able to exhibit ability to be sensitive to the needs, concerns, and feelings of others.

• Able to quickly learn new systems and technology.

• Consistent non-standard work or overtime as business requires.

• On-call availability required as necessary.

• Professional, office environment.

• Full-time working week with some work hours flexibility expected

What’s In It For You?

• Elective Benefits: Our programs are tailored to your country to best accommodate your lifestyle.
• Grow Your Career: Accelerate your path to success (and keep up with the future) with formal programs on leadership and professional development, and many more on-demand courses.
• Elevate Your Personal Well-Being: Boost your financial, physical, and mental well-being through seminars, events, and our global Life Empowerment Assistance Program.
• Diversity, Equity & Inclusion: It’s not just a phrase to us; valuing every voice is how we succeed. Join us in celebrating our global diversity through inclusive education, meaningful peer-to-peer conversations, and equitable growth and development opportunities.
• Make the Most of our Global Organization : Network with other new co-workers within your first 30 days through our onboarding program.
• Connect with Your Community: Participate in internal, peer-led inclusive communities and activities, including business resource groups, local volunteering events, and more environmental and social initiatives.

The Regulatory Compliance Specialist is a key position in the Regulatory Compliance organization. This position drives the daily compliance activities required under the company's trade compliance policy. The Regulatory Compliance Specialist is primarily responsible for resolving potential DPL matches and work with stakeholders that these are not exact matches. This position also reviews compliance holds relative to strategic or controlled goods and based on the nature of end-customers, determines whether a license or government authorization is required to make the sale or the export. This position is involved in conducting risk assessment of end-customers and categorize them accordingly based on a defined criterion. The Regulatory Compliance Specialist is responsible for analyzing metrics that track turnaround times in reviewing and releasing DPC and ECCN holds. Minimum supervision is required for this role.

• Address DPC escalations relating to potential matches when screening new customers, vendors or subcons.

• Assist in determining the in-country HS codes for articles created in SAP system.

• Perform ECCN review and determine license/regulatory requirements for all sales transactions.

• Extract report from SAP system for DPC and ECCN Hold Metrics per month. Analyze metrics & determine actions further improve turnaround time or reduce DPC holds.

• Prepare other trade compliance reports as required by the department.

• Perform risk assessments on end-customers and categorize them according to a pre-determined criterion.

• Perform ECCN validation of new articles created in SAP.

Knowledge, Skills and Experience:

• 3 to 5 Years of relevant work experience.

• Associate degree with International Trade or Logistics field of study required.

• Minimum Diploma in International Trade or Logistics or Supply Chain

• Able to execute instructions and to request clarification when needed.

• Able to use a 10-key quickly and accurately.

• Possesses basic clerical and data entry skills.

• Possesses strong data entry skills.

• Able to recognize and attend to important details with accuracy and efficiency.

• Able to communicate clearly and convey necessary information.

• Able to converse and write effectively in English.

• Possesses strong multi-cultural interpersonal skills.

• Able to constructively work under stress and pressure when faced with high workloads and deadlines.

• Able to maintain and promote social, ethical, and organizational standards in conducting internal and external business activities.

• Able to work independently with minimum supervision.

• Able to maintain confidentiality of sensitive information.

• Able to build solid, effective working relationships with others.

• Able to exhibit ability to be sensitive to the needs, concerns, and feelings of others.

• Able to quickly learn new systems and technology.

• Consistent non-standard work or overtime as business requires.

• On-call availability required as necessary.

• Professional, office environment.

• Full-time working week with some work hours flexibility expected.

What’s In It For You?

• Elective Benefits: Our programs are tailored to your country to best accommodate your lifestyle.
• Grow Your Career: Accelerate your path to success (and keep up with the future) with formal programs on leadership and professional development, and many more on-demand courses.
• Elevate Your Personal Well-Being: Boost your financial, physical, and mental well-being through seminars, events, and our global Life Empowerment Assistance Program.
• Diversity, Equity & Inclusion: It’s not just a phrase to us; valuing every voice is how we succeed. Join us in celebrating our global diversity through inclusive education, meaningful peer-to-peer conversations, and equitable growth and development opportunities.
• Make the Most of our Global Organization : Network with other new co-workers within your first 30 days through our onboarding program.
• Connect with Your Community: Participate in internal, peer-led inclusive communities and activities, including business resource groups, local volunteering events, and more environmental and social initiatives.