302 Compliance Manager jobs in Mumbai

Manage EPV & defense vendor registrations, ensure compliance with procurement rules, handle documentation & renewals, liaise with authorities, track policy updates, and support sales in tenders requiring registrations.

Required Candidate profile

Graduate with 2–5 yrs in compliance/vendor registration, skilled in defense procurement processes, documentation, govt portals, and MS Office.

Job Responsibilities :-

• Monitoring of ongoing compliance and reporting as required under SEBI AIF and PMS regulation – Preparation and submission of required monthly, quarterly, annual regulatory/ CTR and other compliance filings, reports, & disclosures to SEBI and other relevant authorities like trustees, custodians, RBI, etc.

• Liasoning and co-ordinating with Regulator for PMS, AIF compliance and queries

• Monitoring ongoing and event-based submissions with RBI and Income Tax (FATCA/CRS, FIRMS, etc)

• Review, Preparation/Up-dation of Private Placement Memorandum and amendments including to Trust Deed, KYC documents/Contribution agreements/ distribution agreements and intimation to regulatory Authorities wherever required.

• Co-ordinate with various service providers/vendors/Forums for various compliance related matters pertaining to AIF and PMS.

• Liasoning with Internal auditors and statutory auditors and effectively handling SEBI inspections; Interact with auditors and other external parties for various regulatory requirements/ other routine regulatory filings/ compliances.

• Co-ordinating with counsels for legal support, opinions and clarifications

• Monitor changes in SEBI regulations, directives, and circulars to ensure that the organisation’s practices and policies remain up-to-date and compliant.

• Liasoning with product and sales team on products and filings Preparation / Up-dation of Private Placement Memorandum and amendments including Trust Deed Review of Application Form, literature, factsheets, communiques and communications Regulatory reporting - Filings monthly / Quarterly report reports, annual CTR.

• Liasoning with product and sales team on products and filings with regulator.

• Conducting and arranging Committee meetings - valuation committee, investment Management committee; also to maintain minutes of all committee meetings.

• Develop, implement, and manage organisational compliance policies and procedures in line with applicable laws, regulations, and industry best practices.

• Review of marketing material and other marketing/sales documents from a regulatory perspective; inclusive of other advertisement literature, factsheets and communications.

• Drafting and vetting various agreements, legal documents, policies, and standard operating procedures.

• Collaborate with internal departments to provide guidance on compliance-related matters.

• Maintain comprehensive and accurate records of compliance activities and documentation, ensuring easy access for internal and external review.

• Co-Jointly work with Group compliance team for compliances relevant to other verticals

Key Skills :-

• Interpersonal / Communication Skills

• Networking and Market Intelligence

• Strong Client Relationship Skills

• Result Orientation

• Collaborative Approach

Functional Competencies:-

• Excellent in MS Office (Word, PowerPoint & Excel)

• Excellent communication skills in English (oral and written)

Qualification:-

• Graduate/Post Graduate with Degree in Law is preferred.

• NISM Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination will be an added advantage.

Experience:-

• Min. 3 -5 years of experience handling the compliance, legal, functions in allied industries (AIF / PMS) having a working knowledge of SEBI AIF & PMS Regulations in particular.

Compliance Manager:

Elevate Your Impact Through Innovation and Learning

Evalueserve is a global leader in delivering innovative and sustainable solutions to a diverse range of clients, including over 30% of Fortune 500 companies. With a presence in more than 45 countries across five continents, we excel in leveraging state-of-the-art technology, artificial intelligence, and unparalleled subject matter expertise to elevate our clients' business impact and strategic decision-making. Our team of over 4, 500 talented professionals operates in countries such as India, China, Chile, Romania, the US, and Canada. Our global network also extends to emerging markets like Colombia, the Middle East, and the rest of Asia-Pacific. Recognized by Great Place to Work in India, Chile, Romania, the US, and the UK in 2022, we offer a dynamic, growth-oriented, and meritocracy-based culture that prioritizes continuous learning and skill development, work-life balance, and equal opportunity for all.

Curious to know what its like to work at Evalueserve?

About Corporate and Investment Banking

As a global leader in knowledge processes, research, and analytics, youll be working with a team that specializes in global market research, working with the top-rated investment research organizations, bulge bracket investment banks, and leading asset managers. We cater to 8 of the top 10 global banks, working alongside their product and sector teams, supporting them on deal origination, execution, valuation, and transaction advisory-related projects.

What you will be doing at Evalueserve-

We are seeking a highly experienced compliance / paralegal professional with extensive expertise in U.S. SEC regulations to support a growing India-based compliance team for a SEC-registered investment advisor. This role is for a legal / compliance generalist who thrives in smaller, dynamic investment advisory environments and can distill complex regulatory and legal matters into clear, actionable guidance for non-legal audiences.

The ideal candidate will bring strong regulatory knowledge, a proactive problem-solving approach, and the ability to train and mentor team members.

Regulatory Compliance & Legal Support

• Manage and oversee SEC filings, including 13F, 13H, Form PF, and new 2026 regulations such as 13F2 short reporting
• Ensure compliance with EU short-selling rules, including critical next-day reporting obligations by 3:30 PM EU time
• Review and negotiate contracts, oversee KYC processes, and liaise with vendors
• Provide updates on current and evolving U.S. and EU regulations and interpret their impact on the firms operations
• Prepare concise summaries of legal and compliance documents in plain language for internal teams
• Help review all aspects of KRs Code of Ethics, including PA deals, conflicts, gifts and inducements, political contributions, and pre-clearance requests
• Chaperone expert calls, based on specified requirements
• Review trading activities and alerts generated for the firms market abuse surveillance system

Team Training and Collaboration

• Train and mentor India-based compliance team members (1020)
• Coordinate with the US-based CCO to ensure seamless regulatory alignment
• Act as a bridge between the US and India teams for knowledge transfer and process handoffs

What were looking for-

• 6+ years of experience in compliance for SEC-registered investment advisors (generalist background preferred)
• Experience in smaller investment advisory firms preferred over large institutions
• A law degree from the NIRF-ranked top 10 Indian universities (top 50 also acceptable) will be preferred
• Understanding of SEC filings, EU short-selling regulations, and related compliance requirements
• Proven ability to simplify complex legal concepts for non-legal audiences
• Proficiency in Microsoft 365 (especially Excel); familiarity with compliance software will be a plus
• Excellent written and verbal communication skills in English

Follow us on y/evalueserve/

Click here to learn more about what our Leaders talking on achievements AI-powered supply chain optimization solution built on Google Cloud.

How Evalueserve is now Leveraging NVIDIA NIM to enhance our AI and digital transformation solutions and to accelerate AI Capabilities .

Know more about how Evalueserve has climbed 16 places on the 50 Best Firms for Data Scientists in 2024

Want to learn more about our culture and what its like to work with us?

Write to us at:

Disclaimer: The following job description serves as an informative reference for the tasks you may be required to perform. However, it does not constitute an integral component of your employment agreement and is subject to periodic modifications to align with evolving circumstances.

Please Note: We appreciate the accuracy and authenticity of the information you provide, as it plays a key role in your candidacy. As part of the Background Verification Process, we verify your employment, education, and personal details. Please ensure all information is factual and submitted on time. For any assistance, your TA SPOC is available to support you.

We seek a detail-oriented Compliance Executive for our Cat II AIF team to support investor onboarding, SEBI AIF compliance, trustee coordination, and fund operations with the compliance officer and stakeholders

This role is for one of our clients

Industry: Finance

Seniority level: Associate level

Location: Mumbai

JobType: full-time

We are looking for a meticulous and proactive
Compliance Manager – PMS
to oversee all regulatory and compliance functions related to our Portfolio Management Services. This role is critical in ensuring end-to-end adherence to SEBI regulations, maintaining transparency with regulators, and embedding a culture of compliance across the organization.

Key Responsibilities
Regulatory Compliance & Governance
Lead compliance for PMS operations, ensuring 100% adherence to SEBI regulations and other applicable laws.

Review, prepare, and file regulatory reports, disclosures, and submissions within prescribed timelines.

Maintain statutory records, documentation, and audit-ready registers for PMS activities.

Interpret and implement new SEBI circulars, guidelines, and regulatory updates with clear action plans.

Transaction & Policy Oversight
Monitor PMS transactions to ensure execution in line with regulatory guidelines and internal SOPs.

Review disclosure documents, KYC checks, client onboarding, and related compliance documentation.

Design, update, and monitor internal compliance policies and frameworks.

Regulatory & Internal Engagement
Act as a key liaison with SEBI and other regulators; prepare timely responses to inspection queries and compliance observations.

Provide compliance advisory to business, investment, and operations teams on day-to-day matters.

Address compliance-related queries from internal stakeholders with clarity and precision.

Risk Monitoring & Training
Review surveillance alerts, investigate anomalies, and recommend corrective measures.

Conduct employee awareness and training sessions on compliance, AML, insider trading, and related regulatory topics.

Support internal audits and ensure timely closure of compliance gaps.

Candidate Profile
Experience:
5–10 years in Compliance or Regulatory functions within Portfolio Management Services, Asset Management, or Wealth Management.

Knowledge:
In-depth understanding of SEBI regulations governing PMS, AML guidelines, and related compliance frameworks.

Skills:
Strong analytical and problem-solving skills with the ability to interpret and implement regulatory updates.

Communication:
Excellent written and verbal communication skills; ability to engage confidently with regulators and internal leadership.

Mindset:
Detail-oriented, proactive, and able to balance business goals with regulatory obligations.

Core Competencies
SEBI & PMS Compliance

Regulatory Filings & Inspections

Compliance Policy Design & Monitoring

Stakeholder & Regulator Engagement

We are looking for Compliance Manager for our Leading Real Estate Developer firm.

Oversee and ensure the timely registration of all new real estate projects and agents with the relevant RERA authority.

Required Candidate profile

Location- Kandivali (W)

Candidate must have strong knowledge of GST, TDS, Rera Compliance.

Interested candidates can contact on- +91

Currently we are hiring Compliance Manager for NBFC Industry.

Role: Compliance Manager

Location: Mumbai Lower Parel

Industry: Banking / Financial Services

Job Summary:

We are looking for an experienced Compliance and Risk Management professional to oversee regulatory adherence and internal control frameworks across business functions. The ideal candidate will be well-versed in RBI, SEBI, and other regulatory requirements, and bring strong leadership in driving compliance strategy, testing, reporting, and policy development in a financial services setting.

Key Responsibilities:

1. Compliance Testing & Risk Oversight

2. Lead risk-based compliance testing to evaluate the effectiveness of internal controls and processes.

3. Conduct thematic and product-specific reviews in line with regulatory standards.

4. Prepare reports summarizing findings, risks, and recommendations.

5. Regulatory Interaction & Reporting

6. Liaise with regulatory bodies (e.g., RBI, SEBI) on compliance matters and inspections.

7. Support Risk-Based Supervision (RBS) documentation and submissions.

8. Update compliance policies across business verticals.

9. Stakeholder Management & Advisory

10. Provide compliance guidance to business units and senior management.

11. Track and report non-compliance issues; coordinate corrective actions.

12. Present findings to internal governance committees.

13. Policy Development & Training

14. Design and implement compliance frameworks and internal policies.

15. Conduct training programs to promote regulatory awareness and consistency.

16. Monitoring & Reporting

17. Review compliance reports from various functions and branches.

18. Consolidate insights and present risk updates to senior leadership and the board.
19. Monitor operational risk and ensure timely reporting of breaches.

Qualifications:

Education:

• Bachelors in Law, Commerce, or related field.
• CS, or certifications in Compliance, Risk Management, AML/KYC are preferred.

Experience:

• 1215 years in Compliance, Risk, or Regulatory Affairs within BFSI.
• Proven expertise in regulatory compliance, policy implementation, and risk assessment.

Skills:

• Strong understanding of RBI, SEBI, NHB, FEMA, and other applicable regulations.
• Excellent analytical, communication, and stakeholder management skills.
• Ability to navigate complex regulatory scenarios and lead compliance initiatives.

Interested candidate share your updated resume on

Role Overview:

This is a leadership position for a compliance expert to build, own, and lead the compliance function at a fast-growing, technology-driven stock broking firm. You will design systems and processes from inception, champion automation, and develop a talented compliance team to proactively address the evolving regulatory landscape.

Key Responsibilities

• Take ownership of the entire compliance function design, develop, and implement policies, workflows, and systems, ensuring a robust compliance architecture from the ground up.
• Lead product management of compliance automation tools to reduce manual intervention in repetitive control and regulatory tasks.
• Maintain clear, concise, and effective communication with internal teams, external partners, and regulators for data needs, regulatory submissions, and reporting.
• Excel in a start-up environmentmanage tight deadlines, shifting priorities, and ambiguous problem statements while maintaining regulatory discipline.
• Daily exchange fund/securities settlements, margin requirements, pay-in/pay-out procedures, and reconciliations in accordance with ICCL and other exchanges.
• Maintain strong industry networks to stay informed on SEBI and exchange circulars, amendments, and notifications; ensure timely implementation.
• Evaluate and oversee third-party vendors (back-office software, insurance, etc.) essential for fulfilling regulatory requirements.
• Prepare and guide for internal and external audits (IAR), regulatory inspections, and submission of required data and reports.
• Advanced operations handling CDSL DP System (EASIEST, CDAS), pledge creation for margins, reconciliations, and use of leading back-office software (Korp, Shilpi, LD, TechExcel etc.).
• Oversee KRA, CKYC, UCC uploads, and ensure timely and accurate onboarding.
• Ensure compliance with cybersecurity, insurance norms, and certificate submissions as required under half-yearly and periodic returns.
• Drafting of Standard Operating Procedures, Policy framework, Agreements/ Contracts with third-party vendors, distributors and service providers, Privacy Policies and Disclaimers etc.

Required Experience & Skills

• Experience: 8-12 years in broking compliance with proven track record in SEBI/Exchange regulations.
• Exchange Operations: Deep expertise in ICCL Fund settlements, margin & pay-in/pay-out process.
• Regulatory Liaison: Established relationships with exchanges, depositories, and an active industry network.
• Systems Mastery: Proficiency in industry-leading back-office software and CDSL DP Systems (EASIEST/CDAS).
• Audit & Reporting: Experience supporting audits, inspections, and regulatory submissions.
• Vendor Knowledge: Awareness of regulatory vendors for back-office/Cyber/Insurance.
• Regulatory Compliance: Mastery over SEBI, BSE/NSE, CDSL/NSDL regulations and circulars.
• Certifications: Mandatory NISM 3A (Compliance), additional NISM modules for Cash, F&O, Currency, Commodities strongly preferred.
• Leadership: Demonstrated ability to lead teams and contribute strategically.

Preferred Attributes

• Excellent analytical, problem-solving, and interpersonal skills.
• Strong initiative, ownership mentality, and decision-making abilities.
• Ability to thrive in high-pressure, deadline-driven, and dynamic start-up settings.

Role & responsibilities

LOCATION - Andheri / Worli

1. To lead the QC, R & D & Certification Team by imparting Training & Development.

2. To Lead the Certification Team for Sustainable Certification, Lab Accreditations & other Industry Certifications.

3. To draft & develop Product Data Sheet ( TDS ) , MSDS ( SDS ) , COA of Chemical Products. Well verse knowledge of textile chemicals exiting criteria of GOTS / REACH / OEKOTEX / ZDHC COMPLAINCE NORMS and required RSL / MRSL of brands .

4. To draft & develop Product Data Sheet , MSDS , SDS/ TDS of Chemical Products.

5. To Create , update & disseminate Technical compliances in line with industry.

6. Conducting regular audits and assessments to verify adherence to policies and regulations, identifying areas of non-compliance and recommending corrective actions.

7. Application Knowledge in Textile chemical, Polymers production, Detergent & Oil and Gas.

8. Knowledge of Sustainable Alternative of Chemical products.

9. Applicant should have knowledge on sustainable alternative of existing chemistry in his / her research work .

10. Ensure that products and processes meet quality standards and regulatory requirements.

11. Other Routine departmental work

Preferred candidate profile

1.   Previous Experience in the senior role in a similar profile preferred.

2.   Good at operating MS Office, Excel, PowerPoint.

3.     Leadership, Hardworking, Team spirit, Technical Acumen ship.

4.   PhD in Polymer Chemistry mandatory.