2,889 Financial Regulation jobs in India

Reports to: Head of Compliance

Key Responsibilities:

1. Ability to liaise and interact with regulators.

2. Ability to manage Audits.

3. Ensuring 100% compliance across all existing and new products that the company manages.

4. Ensuring end-to-end compliance with the provisions of all regulatory requirements i.e SEBI, IFSCA, Companies Act, FEMA etc.

5. Should be aware of the latest regulatory requirements on all products.

6. Support and guide in the implementation of new products as required by the company.

7. Ensure all regulatory changes/ updates as given by the regulators are managed and installed in the system.

8. Drafting and vetting of legal agreements/ contracts/ MOU/ notices to support the business and products team.

9. Work on any other compliance matters as assigned from time to time.

10. Ability to communicate well at all levels and directly engage with the Board of Directors and Managing Director on all compliance related aspects.

Role Requirements:

• Graduation/ CA / MBA

• Company Secretary is good to have but not mandatory.

• Minimum 4 + years of relevant experience

• Experience in PMS compliance / AIF Compliance / Gift AIF and Distribution compliance will be preferred

Job Title: Manager - AIF Cat III & Fund Management Entity (FME) / Compliance Officer

Location: GIFT City, Gujarat

Reporting to: Group CFO

Key Responsibilities:

2. Compliance & Regulatory Reporting

• Ensure ongoing compliance with SEBI AIF Regulations, IFSCA (Fund Management) Regulations, Companies Act, FEMA, and other applicable GIFT City guidelines.
• File periodic reports, including monthly, quarterly, and annual filings with IFSCA
• Assist in drafting and maintaining compliance manuals, SOPs, and internal policies.
• Ensure timely submission of regulatory forms, including AIF returns, KYC, and AML reporting.
• Coordinate with auditors, legal advisors, tax consultants, and regulators.

4. Others

• Manage documentation including board minutes, investor communications, and vendors & service provider agreements.
• Support in organizing board and investor meetings, keeping minutes, and ensuring necessary resolutions are passed and filed.
• Maintain physical and digital filing systems for statutory and operational documents.

Candidate Profile: CA / CFA / CS / MBA Finance with 5 years+ experience (relevant experience is preferred)

We are hiring for leading NBFC client based in Kochi.

Key Responsibilities

• Design, execute, and oversee the company’s AML & CTF compliance program
• Perform ongoing risk assessments for money laundering and financial crime
• Monitor customer transactions and flag unusual or suspicious activity
• Review and escalate Suspicious Activity Reports (SARs) to MLRO or reporting officer
• Enforce KYC / CDD compliance standards
• Conduct compliance audits and periodic reviews
• Stay updated on regulatory changes (e.g. FATF, FCA, FinCEN, RBI or local AML guidelines)
• Maintain accurate records & documentation per regulatory requirements

Qualifications & Skills

• Bachelor’s in Finance, Law, Business, or related discipline
• 3–5 years’ experience in AML / compliance (financial services or fintech)
• Strong knowledge of AML / CTF laws and regulatory frameworks
• Hands‑on experience with KYC, transaction monitoring, sanctions screening
• AML / Compliance certification preferred
• Proficiency in AML / compliance software tools

Prudent Corporate Advisory Services Ltd is urgently hiring for the post of Compliance Officer .

Location : Ahmedabad

Experience required : Min 2 Years

Job Description:

Compliance with various regulations governing Mutual funds, Bonds, Insurance, NPS and other financial products;

Liaise with external legal and regulatory authorities,

Drafting & vetting of agreements

submission of various compliance reports with regulators

Interested candidates can share their updated resume on

• 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.

Position Details

• Position Title: Compliance Officer
• Department: Statutory Compliance
• Location: Karol Bagh

Role Overview

As a Compliance Officer, you will play a key role in ensuring adherence to regulatory requirements, internal policies, and statutory obligations. This role involves monitoring compliance risks, conducting audits, and fostering a culture of ethics, accountability, and integrity across the organization.

Key Responsibilities

Regulatory Compliance

• Ensure compliance with all relevant laws, regulations, and standards.
• Stay updated with regulatory changes and assess their impact.
• File statutory reports and returns on time.

Policy & Process Management

• Develop, implement, and maintain compliance policies and procedures.
• Review and update policies in line with legal requirements.
• Promote employee awareness and adherence to compliance practices.

Monitoring & Auditing

• Conduct compliance audits and risk assessments.
• Identify gaps, recommend corrective measures, and oversee implementation.
• Maintain records and dashboards for management review.

Training & Awareness

• Organize compliance training and awareness sessions.
• Serve as the first point of contact for compliance-related queries.

Reporting

• Prepare and present compliance reports for management and regulators.
• Escalate violations and potential risks to senior management promptly.

Qualifications & Skills

• Education: Graduate in Finance/Commerce/Business Administration
• Experience: 2–6 years in statutory compliance (EPF/ESI/Gratuity/Labor Laws/Filing returns)
• Knowledge: Strong understanding of statutory laws, regulatory frameworks, and industry compliance requirements
• Skills:
• Analytical and problem-solving skills
• Strong communication and interpersonal abilities
• Integrity, confidentiality, and ethical conduct
• Proficiency in MS Office and compliance management tools

Key Competencies

• Attention to detail and accuracy
• Proactive risk awareness
• Ability to influence and ensure compliance standards
• Strong organizational and documentation skills

Here’s a tailored Job Description (JD) for a Compliance Officer suited to Lucky-Tech Membranes Pvt. Ltd. , a mid-sized manufacturing company in the technical textiles sector:

We are looking for a Compliance Officer to ensure that our manufacturing operations, HR practices, and business processes fully comply with statutory, legal, and regulatory requirements. The role involves managing documentation, audits, and coordination with government authorities and consultants to maintain 100% compliance across all company functions.

Ensure compliance with all labour laws, factory laws, and environmental regulations applicable to manufacturing units.

Maintain and update statutory registers, licenses, and returns (Factories Act, ESIC, PF, PT, LWF, CLRA, etc.).

Coordinate with labour department, pollution control board, MIDC, and other authorities for renewals, inspections, and filings.

Track and renew factory license, pollution consent, fire NOC, and other statutory approvals.

Liaise with HR and Accounts teams to ensure statutory deductions and filings are accurate and timely.

Conduct internal compliance audits and prepare corrective action reports.

Ensure vendor and contractor compliance documentation is complete before onboarding.

Stay updated with changes in laws and communicate implications to management.

Maintain confidentiality and ensure ethical business practices across the organization.

Strong knowledge of Labour Laws, Factories Act, Pollution Control Norms, and Industrial Regulations.

Good documentation and record-keeping skills.

Excellent coordination and communication abilities.

Detail-oriented, proactive, and able to handle audits independently.

Working knowledge of MS Office and compliance management tools.

Graduate / Postgraduate in Commerce, Law, HR, or Industrial Relations.

3–6 years of experience in statutory and legal compliance within a manufacturing environment.

Exposure to MSME / industrial setups or technical textile industry preferred.

Would you like me to also create a short 250-character version for job boards like Naukri / Indeed ?

Position Name - Compliance Officer

Location - Gift City, Gandhinagar

Experience Range - 5-8 yrs

Mandatory Requirement:

• Ensure end-to-end compliance with IFSC regulations , corporate laws, and other regulatory frameworks

Job Roles and Responsibilities:

Responsible for overall Compliance, Legal and Corporate Secretarial functions of the GIFT Branch of the AMC.

• Responsible for compliance under IFSC Regulations, Corporate Laws, etc. for GIFT Branch.

• Supervising various Compliances as per IFSC regulations on day-to-day basis, internal compliance systems, etc.

• Drafting of PPM, Contribution agreement, Trust Deed, etc.

• Vetting/Drafting of various agreements with Vendors, Distributors, service providers,etc.

• Understanding of the laws of various overseas jurisdictions where the fund is distributed.

• Review of marketing materials for the Fund.

• Listing/registering of the Funds at various overseas jurisdictions where the Fund is being marketed.

• Preparation and filing of various periodical reports as required by the IFSC Regulator from time to time.

• Interacting with the statutory authorities for approvals & clarifications

• Reporting compliances to IFSC, ROC, RBI, etc.

• Generation of MIS and reporting to top level management

• Liasoning with the auditors on compliance issues

• Liasoning with legal firms for review of documentation

• Providing compliance updates to various departments

Qualification and Experience:

CS with atleast 5 years of Financial Services experience. AIF experience will be an added advantage.

• LL. B/LL.M. A qualified lawyer from a premier Indian/ International university will be an added advantage.

• Other Degrees / Certifications / Vocational, Technical or Professional Qualifications

• Good command of the law and excellent knowledge of the Indian legal system

• Strong communication skills and very good command of the English language

• Must demonstrate attention for detail and possess an investigative and questioning nature.

• Proactive and having foresight.

• Willing to locate to Ahmedabad/Gandhinagar and operate out of the branch in the GIFT city in Gandhinagar