Regulatory Compliance Manager

Mumbai, Maharashtra TD SYNNEX

Posted today

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Job Description

Job Summary

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.

Job Description

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.

Responsibilities:
  • 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

Knowledge, Skills and Experience:
  • 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.

Working Conditions:
  • 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.

This advertiser has chosen not to accept applicants from your region.

Compliance Manager

Navi Mumbai, Maharashtra Bharat Serums and Vaccines Limited

Posted 2 days ago

Job Viewed

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Job Description

Role & responsibilities

  • Drafting and reviewing policies aligned with regulatory and organizational standards.
  • Designing and delivering compliance training programs across business units.
  • Maintaining strong audit trail of documentation related to TPO framework, policies, training ( Internal and external)
  • Performing risk-based reviews and presenting findings to leadership.
  • Collaborating with cross-functional teams to foster a culture of trust and ethics.
  • Supporting deployment of AI-based applications in compliance monitoring, in line with DPDP regulations.
  • Ensuring adherence to pharma-specific regulations including UCPMP guidelines and NMC regulations.
  • Conducting field reviews to assess compliance and operational integrity.
  • Monitoring regulatory changes and updating internal frameworks accordingly.
  • Assisting in internal investigations and reporting of compliance breaches.
  • Developing dashboards and reports for compliance metrics and insights.
  • Supporting audits and inspections.


Qualifications & Experience


  • Postgraduate degree in Law, Business Administration, or related field preferred.
  • Minimum 8 to 10 years of experience in compliance, or corporate governance.
  • Strong understanding of pharmaceutical regulations (UCPMP, NMC).
  • Experience in risk assessment, reporting, and internal investigations.
  • Familiarity with AI tools and data protection regulations (DPDP).
  • Excellent communication, analytical, and collaboration skills.
  • Ability to manage multiple stakeholders and drive cross-functional initiatives.
  • Prior experience in implementing ethics and compliance programs in pharma or healthcare settings.
  • Proficiency in preparing compliance dashboards and reports.
  • Certification in compliance, ethics, or data privacy (e.g., CCEP etc ) is an added advantage.
  • Experience working with international regulatory frameworks and cross-border compliance issues.
  • Strong project management skills and ability to lead initiatives independently.
This advertiser has chosen not to accept applicants from your region.

Compliance Manager

Mumbai, Maharashtra Magadh Capital

Posted 15 days ago

Job Viewed

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Job Description

What does the job entail

Ensuring the firm's compliance with legal/regulatory procedures, preparation and filing of reports with regulatory agencies as required , co-ordinating audits with external vendors, regular follow up on changes in regulations, working with Company Secretary and CA to ensure compliance with ROC and IT procedures, Coordinating with fund accountant, trustee, custodian, and brokers , preparation of required material for board meetings, co-ordination of minutes


What traits/qualities/skills does the job require

  • Experience in a similar role of legal/regulatory/compliance at a PMS, AIF or a mutual fund firm
  • Integrity
  • Go getter - enterpreneurial mindset - should be able to take inititative and ownership
  • Ability to work independently, and collaboratively with external support agencies
  • Comfort with numbers, attention to detail
  • Ability to multi task

Ideal candidate will have a long term perspective on career, and at least 2 years of relevant experience in a PMS, AIF, or a Mutual fund.

We offer intellectually stimulating work environment , steep learning curve, and the openness and responsibilities associated with working in a fast growing organisation.

This advertiser has chosen not to accept applicants from your region.

Compliance Manager

Mumbai, Maharashtra Emkay Global Financial Services Ltd

Posted 16 days ago

Job Viewed

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Job Description

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.

This advertiser has chosen not to accept applicants from your region.

Compliance Manager

Mumbai, Maharashtra Magadh Capital

Posted 1 day ago

Job Viewed

Tap Again To Close

Job Description

What does the job entail

Ensuring the firm's compliance with legal/regulatory procedures, preparation and filing of reports with regulatory agencies as required , co-ordinating audits with external vendors, regular follow up on changes in regulations, working with Company Secretary and CA to ensure compliance with ROC and IT procedures, Coordinating with fund accountant, trustee, custodian, and brokers , preparation of required material for board meetings, co-ordination of minutes

What traits/qualities/skills does the job require

  • Experience in a similar role of legal/regulatory/compliance at a PMS, AIF or a mutual fund firm
  • Integrity
  • Go getter - enterpreneurial mindset - should be able to take inititative and ownership
  • Ability to work independently, and collaboratively with external support agencies
  • Comfort with numbers, attention to detail
  • Ability to multi task

Ideal candidate will have a long term perspective on career, and at least 2 years of relevant experience in a PMS, AIF, or a Mutual fund.

We offer intellectually stimulating work environment , steep learning curve, and the openness and responsibilities associated with working in a fast growing organisation.

This advertiser has chosen not to accept applicants from your region.

Compliance Manager

Navi Mumbai, Maharashtra Bharat Serums and Vaccines Limited

Posted 2 days ago

Job Viewed

Tap Again To Close

Job Description

Role & responsibilities

  • Drafting and reviewing policies aligned with regulatory and organizational standards.
  • Designing and delivering compliance training programs across business units.
  • Maintaining strong audit trail of documentation related to TPO framework, policies, training ( Internal and external)
  • Performing risk-based reviews and presenting findings to leadership.
  • Collaborating with cross-functional teams to foster a culture of trust and ethics.
  • Supporting deployment of AI-based applications in compliance monitoring, in line with DPDP regulations.
  • Ensuring adherence to pharma-specific regulations including UCPMP guidelines and NMC regulations.
  • Conducting field reviews to assess compliance and operational integrity.
  • Monitoring regulatory changes and updating internal frameworks accordingly.
  • Assisting in internal investigations and reporting of compliance breaches.
  • Developing dashboards and reports for compliance metrics and insights.
  • Supporting audits and inspections.

Qualifications & Experience

  • Postgraduate degree in Law, Business Administration, or related field preferred.
  • Minimum 8 to 10 years of experience in compliance, or corporate governance.
  • Strong understanding of pharmaceutical regulations (UCPMP, NMC).
  • Experience in risk assessment, reporting, and internal investigations.
  • Familiarity with AI tools and data protection regulations (DPDP).
  • Excellent communication, analytical, and collaboration skills.
  • Ability to manage multiple stakeholders and drive cross-functional initiatives.
  • Prior experience in implementing ethics and compliance programs in pharma or healthcare settings.
  • Proficiency in preparing compliance dashboards and reports.
  • Certification in compliance, ethics, or data privacy (e.g., CCEP etc ) is an added advantage.
  • Experience working with international regulatory frameworks and cross-border compliance issues.
  • Strong project management skills and ability to lead initiatives independently.
This advertiser has chosen not to accept applicants from your region.

Compliance Manager

Mumbai, Maharashtra Emkay Global Financial Services Ltd

Posted 2 days ago

Job Viewed

Tap Again To Close

Job Description

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.

This advertiser has chosen not to accept applicants from your region.
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