656 Compliance Officer jobs in India

Compliance Officer

Booming Bulls Finserv

Posted 2 days ago

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Job Description

Job Title: Compliance Officer – SEBI Registered Research Analyst (Remote)

Company Overview:

We are a SEBI-registered Research Analyst firm delivering high-quality equity and market research to our clients across India. Our commitment to transparency, ethics, and compliance forms the foundation of our work.


Position Overview:

We are seeking an experienced Compliance Officer who has previously worked with a SEBI-registered Research Analyst (RA) entity. The ideal candidate will ensure that our operations and research outputs strictly adhere to SEBI’s Research Analyst Regulations, 2014, and related guidelines.


Key Responsibilities:


Oversee and ensure compliance with SEBI (Research Analysts) Regulations, 2014.

Maintain updated compliance checklists, registers, and records as required by SEBI.

Review and approve all research reports and investor communications before release.

Liaise with SEBI, auditors, and other regulatory bodies as required.

Conduct periodic internal audits to ensure adherence to applicable laws and guidelines.

Train and guide internal teams on compliance policies and regulatory updates.

Monitor and implement SEBI circulars, amendments, and notifications promptly.

Required Qualifications & Skills:

Mandatory: Prior experience working as a Compliance Officer or in a compliance role for a SEBI-registered Research Analyst firm.

In-depth understanding of SEBI regulations related to Research Analysts.

NISM Series-XV (Research Analyst) certification or equivalent.

Strong communication, documentation, and analytical skills.

Ability to work independently in a remote environment.

Employment Type: Full-time, Remote

Compensation: Competitive – based on experience and qualifications.


How to Apply:

Interested candidates may send their CV, along with details of their previous SEBI-RA experience, to (your email address) with the subject line: Application – Compliance Officer (Remote).

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Compliance Officer

Noida, Uttar Pradesh Fincart Financial Planners

Posted 2 days ago

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Job Description

Job Title: Compliance Officer

Location: Noida

Employment Type: Full-Time


Job Purpose:

To ensure organizational compliance with all applicable statutory, regulatory, and

internal governance requirements, including oversight of internal processes, vendor

risk, regulatory filings, and compliance training initiatives.


Key Responsibilities:


1. Compliance Audit and Reporting

Conduct comprehensive reviews and maintain documentation to ensure

adherence to applicable regulatory requirements and internal compliance

standards.

2. Corporate Governance Review

Evaluate the organization’s governance structure to ensure it aligns with

regulatory expectations and industry best practices in coordination with the

Compliance Officer.

3. Internal Controls and Process Audits

Review and assess existing business processes to identify control gaps and

ensure implementation of robust internal controls.

4. POSP Compliance Review

Audit and validate onboarding, training, and operational processes of Point of

Sales Persons (POSPs) as per relevant compliance guidelines.

5. Business Continuity and Disaster Recovery Review

Ensure that effective Business Continuity Planning (BCP) and Disaster Recovery

(DR) frameworks are established and tested regularly under the Compliance

Officer's supervision.

6. Training and Awareness Programs

Design and conduct regular workshops and training on key compliance areas

including AML/KYC norms, cybersecurity protocols, and operational risk

mitigation.

7. Documentation Support for Regulatory Filings

Assist in the timely and accurate preparation of required documentation for

filings such as shareholding changes, periodic returns, and other statutory submissions.

8. Gap Analysis and Risk-Based Recommendations

Conduct gap analyses to identify areas of non-compliance and provide tailored,

risk-based recommendations to meet compliance expectations.

9. Third-Party Vendor Due Diligence

Conduct compliance and risk assessments of third-party vendors and ensure

necessary controls are extended to all external partnerships.


Preferred Qualifications:


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


Preferred Skills & Experience:

● 4–8 years of relevant experience in regulatory compliance, audits, or governance

roles (preferably in insurance, financial services, or related sectors)

● Strong understanding of regulatory frameworks (IRDAI, SEBI, RBI, etc.)

● Excellent knowledge of corporate governance and internal controls

● Strong documentation, communication, and presentation skills

● Ability to work cross-functionally and manage multiple priorities

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Compliance Officer

Gandhinagar, Gujarat A.P. Moller - Maersk

Posted 2 days ago

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Job Description

A.P. Moller - Maersk is an integrated container logistics company working to connect and simplify its customers’ supply chains. As the global leader in shipping services, the company operates in 130 countries and employs roughly 76,000 people.

With simple end-to-end offering of products and digital services, seamless customer engagement and a superior end-to-end delivery network, Maersk enables its customers to trade and grow by transporting goods anywhere - all over the world.


Key Responsibilities:

  1. Regulatory Compliance Monitoring
  2. Ensure day-to-day compliance with applicable regulations, Income Tax provisions, FEMA, and anti-money laundering (AML) guidelines.
  3. Implement and monitor compliance with internal policies and procedures.
  4. Periodic Compliance Reporting
  5. Prepare and submit regulatory reports to all authorities including tax authorities, and internal management in a timely manner.
  6. Maintain a compliance calendar for statutory filings and deadlines.
  7. Internal Compliance Audits
  8. Conduct periodic audits of compliance functions to identify gaps and suggest corrective actions.
  9. Ensure implementation of audit recommendations.
  10. Regulatory Updates and Communication
  11. Monitor changes in regulations and update internal policies accordingly.
  12. Communicate regulatory changes to the management team.
  13. Record Maintenance


Secretarial:

  1. Ensure accurate maintenance of all compliance-related records such as KYC files, transaction records, regulatory submissions, and audit reports. Preparing and finalizing a series of documents related to the Board, General, CSR and Trust meetings (Notice, Agenda, minutes, authority letters, shorter consent).
  2. Prepare, review and file of statutory forms within deadline round the year Update and maintain statutory registers which involves keeping track of the limits allowed for loans and RPT arrangements.
  3. Drafting and finalizing board resolutions on request from various functions like finance, HR and Admin.
  4. Assisting and supporting finance during statutory audit.
  5. Coordinating and completing the filing of Annual Return of the Company after secretarial inspection post AGM.
  6. Monitoring each change triggering multiple secretarial compliances
  7. Working on various facilities Agreement, HR agreements related employee benefits, intern-company agreements, Rent/ Lease agreement, LOIs, Legal notice
  8. Managing CSR spend and ensuring proper documentation and approvals in place and reporting requirements
  9. Has recognised legal skills allowing partnering/counselling role outside of function to optimise commercial decisions.
  10. May be required to draw expertise from direct manager or other legal specialists (ie those with in-depth knowledge in areas such as data protection law, maritime law, oil and gas law, labour law, contract law, mergers and acquisition, and claims)
  11. Ability to navigate through stakeholders for a mutual agreement


Qualification & Experience:

  • Company Secretary (CS) mandatory, LLB, or other relevant compliance qualifications.
  • 5–7 years of experience in compliance, risk management, or regulatory roles (preferably in shipping).
  • Strong knowledge of SEZ regulations and Indian regulatory framework.
  • Detail-oriented, analytical, and good at process implementation.
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Compliance Officer

Bengaluru, Karnataka Muthoot Fincorp Ltd.

Posted 2 days ago

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Job Description

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

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Compliance Officer

Ahmedabad, Gujarat QX Global Group

Posted 2 days ago

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Job Description

Roles and Responsibilities:


  • Initial and maintenance compliance
  • Chasing documents, verifying, and uploading
  • Signing off file as per client guideline
  • Maintain contact with clients to determine staffing needs, solicit orders, and informs clients about the availability of employees.
  • Work as a team and maintain professional working relationships with clients and employees.
  • Responsible for establishing a fantastic customer relationship to receive, review and enter and review client orders all while anticipating client staffing needs.


Key Skills:


  • Experience of 6 to 18 Months in UK Healthcare Compliance(360)
  • UK compliance healthcare background, Knowledge of NHS framework compliance.
  • Should be eager to grow career in Compliance.
  • Doctors or Nurses or any compliance experience



Shift: UK Shift

Location: Ahmedabad

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Compliance Officer

Ahmedabad, Gujarat Tipsons Group

Posted 2 days ago

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Job Description

  • 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.
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Compliance Officer

Noida, Uttar Pradesh ₹1500000 - ₹2500000 Y Fincart Financial Planners

Posted 1 day ago

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Job Description

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
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Compliance Officer

Mumbai, Maharashtra ₹1200000 - ₹3600000 Y 4S Advisory

Posted 1 day ago

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Job Description

About the job:

Exciting opportunity to join a top performing private equity firm as a Compliance Officer.

The Compliance Officer will play a critical role in ensuring that our firm and its funds adhere to all relevant laws, regulations, and internal policies.

The ideal candidate will have a strong understanding of regulatory environment and a commitment to upholding the highest standards of integrity and ethical conduct.

The ideal candidate should be an undergraduate from a Tier 1 college and have additional qualifications of being a CS LLB.

The ideal candidate should have 7-10 years of work experience in the compliance role preferably at an AIF MF PMS.

The ideal candidate should be a self-driven individual with a positive personality and be able to work well in a cross-functional team.

Broad Scope of Work

Ensure complete compliance with all constituent documents of the Funds and regulatory requirements

PPM Audit and other Audits: Liaising with the auditor sharing requested information with the auditor, ensuring information accuracy, document formatting and timely completion

Preparing reviewing receiving management clearance completing accurate regulatory filings in a timely manner and sourcing back up documents: FATCA CRS, FLA, Transaction related filing and reporting (pre and post), Form InVi, SEBI quarterly report, SEBI annual Compliance Test Report, PPM Audit reporting

Ensuring timely investor internal reporting and communication: scheduled and immediate

Assisting in timely completion of transaction related conditions precedent conditions subsequent on an as required basis

Updating the team and ensuring SEBI compliances as per regulations and circulars (including new updates), internal policy compliances, compliance with Fund Documents, new investor clearances - implementation, preparing reports, monitoring, reporting and taking requisite action

Ensuring timely World Check screening of investors, portfolio companies, UBOs, service providers and others as applicable and report escalate take action as required

Reviewing all applicable regulatory portals such as SCORES, ODR etc. at frequent intervals and report escalate take action as required

Reviewing applicable policies and updating them periodically

Reviewing updating applicable NDAs, Agreements and Engagement Letters

Respond to contributor queries, emails and other requests sent to the Fund

Respond to queries, emails and other requests notices from Government and regulatory bodies, file responses rectifications and ensure complete satisfactory closure

Execute pledge process prepare other process notes forms required by distributors contributors others

Ensure timely communication to Trustee contributors on Fund matters reporting as required

Leading providing support for new legal compliance related initiatives as and when needed

Providing support to the team as and when needed across activities.

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Compliance Officer

Gandhinagar, Gujarat ₹500000 - ₹1500000 Y InCred Capital

Posted 1 day ago

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Job Description

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.

anage 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.

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Compliance Officer

Mumbai, Maharashtra ₹1800000 - ₹2200000 Y Weekday AI

Posted 1 day ago

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Job Description

This role is for one of Weekday's clients

Salary range: Rs Rs ie INR 18-22 LPA)

Min Experience: 5 years

Location: Mumbai

JobType: full-time

Requirements

We are seeking a Company Secretary (5-10 years of experience) as our Compliance officer for SEBI registered entities who is looking forward to an extremely intense and challenging role in our hedge fund-styled investing platform. An ideal candidate would be someone who has held position in a similar profile in the asset management / financial services space.

Candidates with specific experience in the AIF/PMS/Mutual Fund space will be highly preferred.

Roles & responsibilities:

a. Lead the entire compliance function end-to-end for all SEBI registered licenses

i. Establish and implement all the compliance policies that are applicable to all SEBI registered and regulated investment licences – AIF, PMS, RIA. Regularly review and upgrade the policies as required by regulation.

ii. Build and implement processes and systems to ensure smooth functioning w.r.t compliance function

iii. Review and ensure timely and accurate submissions of various regulatory filings are on time and accurate.

iv. Facilitate establishing an audit and compliance testing program.

b. Stakeholder management

i. Monitor regulatory changes, assess impact on business, provide comments on consultative papers and act as a Nodal point of contact between the Company and SEBI and to be a participant to the consultations or other regular discussions.

ii. Ensuring the timely response/ interactions thereof to the SEBI onsite and offsite inspections and be the central coordinator for any regulatory exercises.

iii. Lead and facilitate interactions with the Board, Audit Committee, and other committees. Apprise all with the status of compliance with respect to the regulatory requirements and assist them to make an informed judgment on whether the SEBI registered entity/funds are managing its compliance risk effectively.

iv. Work in a team of 5-6 members and lead 1-2 staff

c. Value addition

i. Get deeply involved with the Product team in creation of financial strategies/products right at the inception and provide understanding of applicable regulations

ii. Lead the exercise for prospective licenses like Mutual Fund etc

iii. Interpret regulations and seek clarifications from Regulator and from the market, as required.

iv. Assess changing regulations and proactively highlight potential risk areas and implement solutions accordingly.

d. Recommend and institutionalize best governance policies and practices. DNA:

a. We expect you to have higher energy, higher intellectual capability and a desire to handle bigger responsibilities than an average professional of your age/experience will generally do.

b. We expect you to take a lot of initiative to do on-the-job learning about different financial instruments and products.

c. We expect you to create a positive environment for your team and help your team members grow professionally as well.

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