Compliance Director

Mumbai, Maharashtra Dept Data

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Job Description

Compliance Director

We are seeking an experienced Compliance Director to lead and oversee our organization's compliance program, ensuring adherence to legal standards and internal policies. The ideal candidate will have a strong background in regulatory requirements, risk management, and corporate governance.

Responsibilities
  • Develop, implement, and maintain the company’s compliance policies and procedures.
  • li>Monitor and assess compliance risks and ensure mitigation strategies are in place.
  • Lead compliance audits and investigations, reporting findings to senior management and regulatory bodies as necessary.
  • Provide training and guidance to employees on compliance-related matters.
  • Stay updated on relevant laws, regulations, and industry standards to ensure ongoing compliance.
  • Collaborate with legal, finance, and operational teams to integrate compliance into business processes.
  • Manage relationships with regulatory agencies and respond to inquiries or inspections.
  • Prepare and present compliance reports to the board of directors and executive leadership.
Qualifications
  • Bachelor’s degree in Law, Business Administration, Finance, or related field; advanced degree or certifications (e.g., CCEP, CRCM) preferred.
  • < i>Minimum of 7 years of experience in compliance, risk management, or regulatory affairs.
  • In-depth knowledge of relevant laws and regulations applicable to the industry.
  • Proven leadership and management skills.
  • Strong analytical and problem-solving abilities.
  • Excellent communication and interpersonal skills.
  • Ability to work independently and as part of a multidisciplinary team.
Skills
  • Regulatory Compliance
  • Risk Management
  • Policy Development
  • Audit and Investigation
  • Training and Development
  • Legal and Regulatory Knowledge
  • Leadership and Team Management
  • Communication Skills
  • Analytical Thinking
  • Project Management

. Skillset Required: Regulatory Compliance, Risk Management, Policy Development, Audit and Investigation, Training and Development, Legal and Regulatory Knowledge, Leadership and Team Management, Communication Skills, Analytical Thinking, Project Management, Compliance Leadership, Risk Strategy,Time Management and Prioritization,Strategic Planning,Problem-Solving Skills,Stakeholder Engagement,Ethical Decision-Making,Corporate Governance,Training and Development,Contract Review and Compliance,Crisis Management,Conflict Resolution,Negotiation Skills
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Compliance Director

Mumbai, Maharashtra 23Dept

Posted today

Job Viewed

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Job Description

Compliance Director

We are seeking an experienced Compliance Director to lead and oversee our organization's compliance program, ensuring adherence to legal standards and internal policies. The ideal candidate will have a strong background in regulatory requirements, risk management, and corporate governance.

Responsibilities
  • Develop, implement, and maintain the company’s compliance policies and procedures.
  • li>Monitor and assess compliance risks and ensure mitigation strategies are in place.
  • Lead compliance audits and investigations, reporting findings to senior management and regulatory bodies as necessary.
  • Provide training and guidance to employees on compliance-related matters.
  • Stay updated on relevant laws, regulations, and industry standards to ensure ongoing compliance.
  • Collaborate with legal, finance, and operational teams to integrate compliance into business processes.
  • Manage relationships with regulatory agencies and respond to inquiries or inspections.
  • Prepare and present compliance reports to the board of directors and executive leadership.
Qualifications
  • Bachelor’s degree in Law, Business Administration, Finance, or related field; advanced degree or certifications (e.g., CCEP, CRCM) preferred.
  • < i>Minimum of 7 years of experience in compliance, risk management, or regulatory affairs.
  • In-depth knowledge of relevant laws and regulations applicable to the industry.
  • Proven leadership and management skills.
  • Strong analytical and problem-solving abilities.
  • Excellent communication and interpersonal skills.
  • Ability to work independently and as part of a multidisciplinary team.
Skills
  • Regulatory Compliance
  • Risk Management
  • Policy Development
  • Audit and Investigation
  • Training and Development
  • Legal and Regulatory Knowledge
  • Leadership and Team Management
  • Communication Skills
  • Analytical Thinking
  • Project Management

. Skillset Required: Regulatory Compliance, Risk Management, Policy Development, Audit and Investigation, Training and Development, Legal and Regulatory Knowledge, Leadership and Team Management, Communication Skills, Analytical Thinking, Project Management, Compliance Leadership, Risk Strategy,Time Management and Prioritization,Strategic Planning,Problem-Solving Skills,Stakeholder Engagement,Ethical Decision-Making,Corporate Governance,Training and Development,Contract Review and Compliance,Crisis Management,Conflict Resolution,Negotiation Skills
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Head - Legal & Compliance

Mumbai, Maharashtra ₹2000000 - ₹2500000 Y Hdfc Sales

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Job Description

Role & responsibilities

Will need to manage and provide legal expertise on a wide range of legal matters such as contracts, regulatory compliance, litigation, employment law, corporate governance.

  1. Oversee the operation of the legal department

  2. Identifying and mitigating legal risks.

  3. Developing and implementing legal procedures and policies to ensure the companys compliance with applicable laws.

  4. Drafting, negotiating and vetting contracts, legal documents and agreements.

    Conducting legal research to ensure their organization is up-to-date with the latest legal changes.

  5. Empanelment of external vendors as and when specialized services is required.

  6. Excellent leadership and managerial qualities

  7. Should have analytical and problem-solving skills, should be able to assess and understand complex legal issues, and provide strategic solutions and advice.

  8. Excellent business acumen in regard to understanding of business operations and objectives, provision of legal advice which is aligned with business strategy.

  9. Follow up on commitments/obligations to other Regulatory bodies, and on compliance related audit/inspection observations and incidents for systemic corrections.

  10. Assist all other verticals such as HR, Admin, IT and other business teams in matters related to legal & compliance.

Preferred candidate profile

  1. The candidate must be Law graduate/post graduate (LLB/LLM), preferably with a business administration degree in Banking or Finance

  2. Must have minimum 20 years to 25 years of relevant work experience in Banking and Financial Services

  3. Excellent communication skills. Project management expertise

  4. In-depth understanding of PMLA, Insurance laws, IRDAI, RBI Regulation

  5. Ability to read and interpret the IRDA regulations and Laws

  6. An eye for detail Drafting & Vetting of contracts & Agreements

  7. Collaborative, result oriented and go getter attitude

  8. Should have hands on work experience as per RBI guidelines and Regulations; should preferably have experience of working knowledge of IRDA Regulations and Guidelines

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Head - Legal & Compliance

Mumbai, Maharashtra ₹2000000 - ₹2500000 Y Recsource Recruitment

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Job Description

Legal :

- Contract Management

- Advising with respect to all legal matters

- Assessing/monitoring legal risks

- Managing /briefing external lawyers

Secretarial :

- Manage all activities of the Secretarial Compliance requirement.

Required Candidate profile

  • 10+ years of experience in a law firm or corporate legal department.
  • Qualification : LLB and Company Secretary
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Legal & Compliance Head

Mumbai, Maharashtra White Force

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Job Description

Job description

Urgent Hiring for - Legal & Compliance Head


Preferred immediate joiner
email -
contact no. -
Location - Andheri, Mumbai
Experience - 8 to 12 years
Salary - 10 LPA - 15 LPA


Job Summary


We are looking for a highly experienced and strategic Legal Head to oversee all legal matters of the

company across our business verticals: DSA operations, Corporate Insurance Agency, Mutual

Fund Distribution, and Realty Brokerage under RERA. The incumbent will be responsible for

ensuring legal compliance, managing regulatory risks, handling litigation, and advising on corporate governance and business contracts.


Key Responsibilities


Regulatory Compliance & Risk Management:


  • Ensure compliance with RBI, SEBI, IRDAI, AMFI, and RERA regulations relevant to the companys operations.
  • Keep abreast of evolving laws and regulatory guidelines aecting DSAs, corporate insurance agencies, mutual fund distributors and real estate brokerage.
  • Develop and implement risk mitigation strategies to safeguard company operations.
  • Liaise with regulatory authorities as needed.

  • Contract Management & Documentation:


  • Draft, review, and negotiate agreements including loan distribution agreements, insurance
  • distribution contracts, mutual fund agreements and real estate brokerage agreements.

  • Ensure all business contracts are legally sound and aligned with regulatory requirements.
  • Maintain proper documentation for business transactions and client agreements.

  • Litigation & Dispute Resolution:


  • Manage legal disputes, litigation, and arbitration proceedings.
  • Represent the company in legal matters and coordinate with external legal counsel when required.
  • Handle customer complaints and regulatory inquiries in coordination with compliance teams.

  • Corporate Governance & Advisory:


  • Advise the leadership team on legal risks, corporate policies, and governance frameworks.
  • Ensure adherence to corporate governance best practices.
  • Assist in board and shareholder meetings by providing legal opinions and necessary documentation.

  • Team Leadership & Training:


  • Lead the legal department and foster seamless coordination with all internal departments to ensure legal compliance across business operations.
  • Conduct legal training sessions for employees to ensure adherence to legal and regulatory requirements.

  • Qualifications & Skills


  • LLB/LLM from a reputed institution.
  • Minimum 8-10 years of experience in legal roles, preferably in financial services, NBFCs, insurance, mutual funds or real estate brokerage.
  • Strong understanding of regulatory frameworks (RBI, SEBI, IRDAI, AMFI, RERA).
  • Expertise in contract law, litigation, corporate governance, and compliance.
  • Excellent negotiation, analytical, and communication skills.
  • Ability to work in a fast-paced and dynamic environment.

  • Why Join Us?


  • Opportunity to work in a dynamic and growing financial services firm.
  • Lead legal strategy for a multi-faceted business.
  • Engage with top financial institutions and regulatory bodies.

  • Email -

    Contact no. -



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    Legal &Compliance Head

    Mumbai, Maharashtra White Force

    Posted today

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    Job Description

    Job description

















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    URGENT HIRING for Legal & Compliance
    Head



    Email ID:



    Contact :





    Experience- 8-10 years of
    experience in legal roles, preferably in financial services, NBFCs, insurance,
    mutual funds or real estate brokerage.





    Salary upto 15lpa



    Location-Mumbai





    Key
    Responsibilities





    Regulatory
    Compliance & Risk Management:



    •Ensure compliance with RBI, SEBI, IRDAI, AMFI,
    and RERA regulations relevant to the company’s operations.



    •Keep abreast of evolving laws and regulatory
    guidelines affecting DSAs, corporate insurance agencies, mutual fund
    distributors and real estate brokerage.



    •Develop and implement risk mitigation
    strategies to safeguard company operations.



    •Liaise with regulatory authorities as needed.





    Contract
    Management & Documentation:



    •Draft, review, and negotiate agreements
    including loan distribution agreements, insurance distribution contracts,
    mutual fund agreements and real estate brokerage agreements.



    •Ensure all business contracts are legally sound
    and aligned with regulatory requirements.



    •Maintain proper documentation for business
    transactions and client agreements.





    Litigation &
    Dispute Resolution:



    •Manage legal disputes, litigation, and
    arbitration proceedings.



    •Represent the company in legal matters and
    coordinate with external legal counsel when required.



    •Handle customer complaints and regulatory
    inquiries in coordination with compliance teams.





    Corporate
    Governance & Advisory:



    •Advise the leadership team on legal risks, corporate
    policies, and governance frameworks.



    •Ensure adherence to corporate governance best
    practices.



    •Assist in board and shareholder meetings by
    providing legal opinions and necessary documentation.





    Team
    Leadership & Training:



    •Lead the legal department and foster seamless
    coordination with all internal departments to ensure legal compliance across
    business operations.



    •Conduct legal training sessions for employees
    to ensure adherence to legal and regulatory requirements.





    Ǫualifications
    & Skills:



    •LLB/LLM from a reputed institution.



    •Minimum 8-10 years of experience in legal
    roles, preferably in financial services, NBFCs, insurance, mutual funds or real
    estate brokerage.



    •Strong understanding of regulatory frameworks
    (RBI, SEBI, IRDAI, AMFI, RERA).



    •Expertise in contract law, litigation,
    corporate governance, and compliance.



    •Excellent negotiation, analytical, and
    communication skills.



    •Ability to work in a fast-paced and dynamic
    environment.





    Interested candidates can
    apply along with their resume on the below mentioned email ID or whatsapp
    number





    Email ID:



    Contact:





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    Director Trade Compliance, APJ

    Mumbai, Maharashtra TD SYNNEX

    Posted today

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    Job Description

    Are you a seasoned leader with a passion for regulatory compliance? Do you thrive in dynamic environments where you can make a tangible impact? TD SYNNEX is seeking a highly skilled Head of Regulatory Compliance for the APJ region to join our global team of compliance experts. This is a unique opportunity to lead and shape the compliance landscape across a diverse and rapidly evolving region.

    The position represents all areas of Regulatory Compliance subject matters in both the APJ Senior Management forum and the APJ Legal team. The constantly changing framework of regulations means that the successful applicant must be nimble and efficient and able to manage maintenance of existing program of control alongside development of new different controls; supporting the commercial teams and maintaining corporate standards of compliance.

    Key Responsibilities:

  • Leadership & Management:  Lead a dedicated team in the APJ region, fostering a culture of compliance and continuous improvement. Collaborate with global counterparts to ensure alignment and consistency in compliance practices.

  • Regulatory Compliance Oversight:  Establish and maintain robust compliance frameworks for import, export, and export control across all TD SYNNEX companies in the APJ region. Represent regulatory compliance matters in APJ Senior Management and Legal forums.

  • Import Compliance:  Oversee import compliance in APJ, coordinating closely with the Global Director of Import Compliance coordinating on policy, procedures. Develop and implement duty deferral and mitigation programs to minimize tariff on COGs.

  • Export Licensing:  Support the Sr. Director of Global Export Licensing to ensure all transactions comply with U.S. re-export and country-specific export licensing requirements. Lead the deployment of the E2 Open Export Licensing Module in APJ by 2026.

  • Greater China & HK Compliance:  Manages Regulatory Compliance for greater China and HK. Ensures TD SYNNEX activities in greater China are compliant with U.S. regulations including the U.S. Treasury investment rule (August 2024), the U.S. Department of Justice Bulk Information Rule (December 2024) and other ensuing regulatory restrictions as codified toward China and HK.

  • Environmental Compliance:  Supports Director of Environmental Product Compliance, i.e., packaging, WEEE etc., for APJ. Teams with our APJ business partners to manage environmental fee payments and recovery (customers) as required by country regulatory requirements.

  • Continuous Improvement:  Direct self-assessments to ensure the accuracy of import valuations, classifications, and other regulatory requirements. Develop remediation plans to address any findings.

  • Qualifications:

  • Educational Background:  A 4-year university degree is required; an advanced degree is preferred.

  • Experience:  Minimum of 10 years of relevant experience in regulatory compliance, with at least 5 years in a leadership role. Experience in the high-tech industry and APJ Customs Compliance is essential.

  • Technical Expertise:  Extensive knowledge of import-export regulations and compliance laws. Proven ability to work collaboratively with regulators and business partners.

  • Leadership Skills:  Demonstrated ability to lead and inspire teams, with a track record of making impactful decisions and driving change.

  • Join TD SYNNEX and be part of a team that is at the forefront of regulatory compliance in the APJ region. If you are ready to take on this exciting challenge and make a difference, we want to hear from you!

    Key Skills

    Export Control Classification Number, Exports, Exports Tarriffs, Foreign Trade, Geopolitics, Import Compliance, Import Export Compliance, Leadership, Leadership Management, Regulatory Compliance, Tariff Systems, Trade Law, U.S. Export Controls

    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.
  • Don’t meet every single requirement? Apply anyway.

    At Tech Data, a TD SYNNEX Company, we’re proud to be recognized as a great place to work and a leader in the promotion and practice of diversity, equity and inclusion. If you’re excited about working for our company and believe you’re a good fit for this role, we encourage you to apply. You may be exactly the person we’re looking for!

    We are an equal opportunity employer and committed to building a diverse team that represents and empowers a variety of backgrounds, perspectives, and skills. All qualified applicants will receive consideration for employment based on merit, without regard to race, colour, religion, national origin, gender, gender identity or expression, sexual orientation, protected veteran status, disability, genetics, age, or any other characteristic protected by law. To support our diversity and inclusion efforts, we may ask for voluntary gender disclosure information. This data will be used solely to improve our hiring practices and ensure fair treatment for all candidates. 

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