What Jobs are available for Regulatory Compliance in Mumbai?

Showing 26 Regulatory Compliance jobs in Mumbai

Head of Quality and Regulatory Compliance

Mumbai, Maharashtra Getinge

Posted 10 days ago

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Job Description

Job Overview:

The Director of QRC, IN will serve as an active member of the Global Sales (GS) SAPAC region QRC leadership and IN SSU Leadership Teams, on top of the role as IN SSU Management Representative. He/ She will provide Regulatory & Quality Leadership for the IN SSU where Getinge is present. The incumbent is expected to have good understanding of the IN country’s QA & RA requirements and is also expected to lead activities to bridge gaps in the QMS & product registration requirements. Managing and insuring proper filing of all required compliance documents, submissions, registrations, etc to ensuring products supplied in India meet the requirements of the Medical Devices Rules 2017.

This role will have a solid line reporting to Senior QRC Director, APAC & dotted reporting to the Managing Director, IN SSU.


Job Responsibilities and Essential Duties:

  • A list of the main responsibilities and percentage of time spent in each responsibility or group of responsibilities:
  • (30%) Execute the job responsibilities according to applicable Global Sales Quality Management System (GS QMS), Local Quality Management System of India, and other requirements
  • (30%) Ensure Post Market Vigilance activities are executed on a timely manner according with local and Getinge Corporate requirements
  • (25%) People Leadership
  • (15%) Product Registration on a timely & compliance manner


Strategic Planning

  • Develop and implement local Quality Systems in line with Global Sales QMS
  • Development and implementation of the QRC strategic plan.


Required Knowledge, Skills and Abilities

  • Strong leadership and communication skills
  • Resourceful and independent team player
  • Mature, pro-active working attitude and able to work under pressure.
  • A team player and a self-starter with strong inter-personal and presentation skills


Supervision/Management of Others

  • Responsible for the development and management of QRC manager and specialist and programs for the team and retain high potential employee
  • Provide clear direction and keep the work group moving forward and focused on the right


Internal and External Contacts/Relationships

  • Main contacts, internal

o Management team

o QRC team in region

o BA QRC teams

o Sales department

o Service department

o Logistics department

  • Main contacts, external

o Central Drugs Standard Control Organization, Ministry of Health & Family Welfare

  • Other agencies such as Bureau of Indian Standards

o ISO certification body (TUV SUD Europe)

o Distributors


Environmental/Safety/Physical Work Conditions

  • Ensures environmental consciousness and safe practices are exhibited in decisions.
  • Use of computer/ laptop and telephone equipment and other related office accessories/devices to complete assignments
  • May work extended hours during peak business cycles & desk bound e.g. ISO certification audit & preparation of product registration documents for submission.
  • Physical requirements: requires carrying of laptop and its associated accessories during travelling.
  • Travel requirements: requires occasional interstate travel and international travel


Minimum Requirements:

  • Bachelor’s degree in engineering or Life Science related field or equivalent.
  • A minimum of 10 years hands-on experience in Quality Assurance, preferably in a medical device company.
  • Able to work ground up to build the quality system in the R&D organization to match and surpass global requirements and customer expectations.
  • Startup mindset, where person should be able to work on the ground at the initial phase while working on the future development of the quality organization. Experience similar to this will be an added advantage.
  • Progressive leadership experience including hands on advanced quality system strategy.
  • Excellent knowledge of FDA and EU regulatory compliance for medical devices.
  • Demonstrated knowledge of Quality System Regulation (QSR) and Quality System Inspection Technique Audits (QSIT).
  • Strong influencing skills and the ability to build strong interpersonal relationships.
  • Excellent communication skills including public speaking and strong written skills.
  • Demonstrated leadership in a cross-functional environment.
  • Advanced skills in MS Office applications (Word/Excel) are required.
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Senior Aviation Safety Manager - Regulatory Compliance

400001 Mumbai, Maharashtra ₹150000 Annually WhatJobs Direct

Posted 2 days ago

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Job Description

full-time
Our client, a globally recognized leader in aviation services, is looking for a highly skilled and dedicated Senior Aviation Safety Manager to oversee and enhance safety protocols across their operations. This is a critical remote position, demanding a comprehensive understanding of international aviation safety standards and regulatory frameworks. The successful candidate will be responsible for developing, implementing, and managing a robust safety management system (SMS) in strict accordance with ICAO, EASA, and DGCA regulations. Your role will involve conducting regular safety audits, risk assessments, and hazard identification across all aviation activities, including flight operations, ground handling, and maintenance. You will lead incident investigations, analyze root causes, and develop corrective action plans to prevent recurrence. This position requires a proactive approach to safety promotion, including training programs and fostering a strong safety culture among all personnel. The Senior Aviation Safety Manager will also liaise with regulatory bodies, ensuring compliance with all applicable aviation laws and standards. Developing and maintaining safety performance indicators (SPIs) and safety performance targets (SPTs) will be a key responsibility. This role requires a deep dive into safety data analysis and trend monitoring to identify emerging risks. The ideal candidate must possess a strong background in aviation safety management, with at least 8 years of experience in a similar capacity. A degree in Aviation Management, Aerospace Engineering, or a related field is preferred. Relevant certifications such as an IATA Safety Auditor or equivalent are highly advantageous. Excellent analytical, problem-solving, and decision-making skills are essential. The ability to communicate effectively with diverse teams, including pilots, engineers, and management, is crucial. As this is a fully remote position, strong self-management, excellent time management, and the ability to work autonomously are paramount. You will be instrumental in maintaining our client's reputation for operational excellence and safety leadership in the competitive aviation industry. Join a team dedicated to ensuring the highest standards of safety in air travel.
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Credit Risk-Regulatory & Compliance-Production Monitoring Intmd Analyst

Mumbai, Maharashtra Citigroup

Posted 4 days ago

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Job Description

The Credit Portfolio Intermediate Analyst is an intermediate-level position responsible for the end-to-end management and continuous validation of all post-implementation processes and ongoing production monitoring for customer-facing credit risk platforms. This role ensures that all credit risk technology solutions, once deployed, perform effectively, and align with both regulatory requirements and business objectives. This person will be responsible for validating model and platform performance, identifying areas for optimization, and ensuring stability, reliability, and scalability of systems in production.
This role requires good understanding of credit risk systems, customer impact, and technology operations, including post-implementation assessments, operational risk management, and ongoing system monitoring to prevent disruptions and ensure compliance.
**Responsibilities:**
**Post-Implementation Validation:**
+ Design and perform the validation of all customer-facing credit risk platforms post-deployment, ensuring that they function as intended, align with business strategies, and meet regulatory requirements.
+ Support the development and execution of post-implementation validation frameworks, focusing on model performance, rule accuracy, and platform effectiveness across all credit risk decisioning systems.
+ Partner with risk management, IT, and operations teams to assess potential vulnerabilities, gaps, or deficiencies in system performance and address them promptly.
**Production Monitoring & Issue Resolution:**
+ Establish and manage a robust framework for ongoing production monitoring of credit risk platforms, ensuring proactive identification and resolution of system performance issues.
+ Implement real-time and batch monitoring processes that assess credit risk platforms' operational performance, data integrity, and customer impact across various product lines.
+ Ensure timely resolution of production issues, including the identification of root causes, formulation of solutions, and collaboration with technology teams to implement necessary fixes or enhancements.
**Customer Impact & Experience:**
+ Ensure all customer-facing credit risk platforms perform reliably in production, minimizing any negative impact on the customer experience due to system errors, downtimes, or performance issues.
+ Support initiatives to continuously improve platform stability, reducing risk to customers and ensuring the organization's credit risk models and rules are consistently delivering accurate decisions.
+ Engage with business stakeholders to understand customer needs and expectations, ensuring production systems evolve to meet them efficiently and effectively.
**Regulatory & Compliance Monitoring:**
+ Ensure all post-implementation validation and production monitoring activities meet regulatory and compliance requirements, including alignment with policies related to credit risk, data usage, and customer protection.
+ Develop and maintain documentation and audit trails that demonstrate compliance with regulatory expectations for system validation and ongoing monitoring, particularly in highly regulated environments.
+ Collaborate with internal audit, compliance, and regulatory bodies to provide transparency into the post-implementation performance of credit risk platforms.
**Risk Management & Control:**
+ Support efforts to enhance the governance and control frameworks for credit risk platforms, with a focus on operational risk management in production environments.
+ Implement ongoing risk assessments to identify and mitigate emerging risks in production systems, ensuring that customer-facing platforms maintain stability and performance standards over time.
+ Collaborate with cross-functional teams to ensure that all risk controls are integrated into the monitoring process and that issues are escalated appropriately.
**Team Leadership & Collaboration:**
+ Foster a culture of collaboration between business, technology, and risk teams to ensure alignment on post-implementation expectations, continuous monitoring needs, and issue resolution processes.
**Technology & Platform Optimization:**
+ Work with technology teams to design and implement advanced monitoring tools that provide real-time insights into platform performance and customer impact.
+ Support efforts in continuous platform optimization to enhance system reliability, reduce risk, and improve the accuracy of credit risk models and rules in production.
+ Ensure ongoing performance testing, stress testing, and platform scalability efforts are embedded into the production environment, preventing disruptions and maintaining platform resilience.
**Qualifications:**
**Educational Background:**
+ Bachelor's degree in information technology, Business, Risk Management, or a related field. Advanced degrees (MBA, MS) and certifications in technology operations, risk management, or project management are preferred.
**Experience & Leadership:**
+ 4+ years of experience in risk management, technology operations, or production monitoring in corporate banking/ financial institutions
+ Knowledge of corporate finance, financial modelling, credit and banking products, credit analytics, risk assessment, and transaction execution
+ Experience in managing operational risk for technology platforms, with a focus on identifying, mitigating, and resolving production issues that impact business and customer outcomes.
**Operational Risk & Technology Expertise:**
+ Good understanding of credit risk management, technology platforms, and operational risk controls, particularly in the context of post-implementation processes.
+ Familiarity with modern monitoring tools, risk management frameworks, and production systems used to assess technology performance in real-time (SAS/ Tableau/ AI/ Oracle) supported by relevant programming skills
+ Utilize statistical tools to perform risk, financial and data analyses including profiling, sampling, reconciliation, and quality testing
**Regulatory & Compliance Knowledge:**
+ Solid knowledge of regulatory requirements related to credit risk, data management, and customer-facing platforms, ensuring alignment with post-implementation and monitoring processes.
+ Experience working with internal audit, regulatory bodies, and compliance teams to ensure transparency and adherence to risk and regulatory expectations
**Strategic Thinking & Problem Solving:**
+ Strong strategic thinker with the ability to anticipate production challenges and operational risks in post-implementation environments, developing robust solutions that enhance system performance.
+ Experience in problem-solving complex operational issues, leveraging cross-functional expertise, and driving long-term improvements in production systems.
+ Strong analytical skills in conducting analysis using bureau/ application/ customer data to identify anomalies and adverse trends
**Stakeholder Management & Communication:**
+ Good stakeholder management skills with the ability to communicate system performance, risks, and monitoring insights to senior leadership, technology teams, and business partners.
+ Proven ability to remain organized in a fast-paced environment
+ Clear and concise written and verbal communication skills
+ Demonstrated accountability, self-motivation and business acumen
---
**Job Family Group:**
Risk Management
---
**Job Family:**
Portfolio Credit Risk Management
---
**Time Type:**
Full time
---
**Most Relevant Skills**
Analytical Thinking, Constructive Debate, Escalation Management, Industry Knowledge, Policy and Procedure, Policy and Regulation, Process Execution, Product Knowledge, Risk Controls and Monitors, Risk Identification and Assessment.
---
**Other Relevant Skills**
For complementary skills, please see above and/or contact the recruiter.
---
_Citi is an equal opportunity employer, and qualified candidates will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other characteristic protected by law._
_If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review_ _Accessibility at Citi ( _._
_View Citi's_ _EEO Policy Statement ( _and the_ _Know Your Rights ( _poster._
Citi is an equal opportunity and affirmative action employer.
Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity.
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Test Manager (Legal and compliance)

Mumbai, Maharashtra Deloitte

Posted 8 days ago

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Job Description

Role Overview:


The Legal and Compliance Test Manager will be responsible for planning, executing, and managing control testing and monitoring activities to assess compliance with regulatory requirements and internal policies. The role involves working closely with Compliance, Risk, and Audit teams to ensure an effective control environment across Client businesses and functions.


Key Responsibilities:

  • Develop and implement the annual compliance testing plan in line with global and regional compliance objectives.
  • Lead testing and monitoring reviews across multiple business units to identify control gaps, policy breaches, and regulatory risks.
  • Design test scripts and procedures to assess compliance controls and adherence to legal obligations.
  • Prepare comprehensive reports summarizing findings, risk assessments, and recommendations for remediation.
  • Track and validate corrective actions arising from audit and compliance reviews.
  • Partner with Legal, Compliance Advisory, and Business stakeholders to ensure testing coverage aligns with risk priorities.
  • Maintain strong awareness of regulatory developments (SEBI, RBI, FCA, MAS, etc.) and their impact on testing programs.
  • Contribute to automation and standardization of testing methodologies and documentation.
  • Support regulatory inspections and internal audits with required evidence and reports.


Location : Mumbai must.

Notice Period : Immediate to 30 days only.

Experience : 8-12 Years


Required Skills and Qualifications:

  • Graduate / Postgraduate in Law, Finance, or related field ; certifications like CIA, CISA, CAMS, or Compliance Diploma are a plus.
  • 8–12 years of relevant experience in Compliance Testing, Internal Audit, or Risk Management within an investment bank or financial institution.
  • Strong knowledge of regulatory compliance frameworks (MiFID, SEBI, FATCA, AML, etc.).
  • Excellent analytical, documentation, and report-writing skills.
  • Experience working with global teams and managing multiple testing streams simultaneously.
  • Proficiency in Excel, Power BI, or other data analysis tools preferred.
  • Strong communication and stakeholder management skills.


Note: Pls do not apply if the location, NP and experience range is not matching.

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Regulatory affairs manager

Mumbai, Maharashtra SOZIO

Posted 13 days ago

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Job Description

Company :


Founded in 1758 in Grasse in the south of France, Maison Sozio is one of the pioneers in fine French perfumery.

The history of the Maison Sozio goes back to one of the very first families of perfumers in Grasse, having been at the origin of the community of glove-makers and perfumers.

With the integration of Synarome in 2021, Sozio ties back to its legacy by returning to its initial activity : raw materials. This acquisition enhances Sozio perfumers’ palette of premium ingredients – both synthetic and natural – and iconic specialties such as Ambrarome and Animalis.

With these generations of learning and knowledge, an expertise in natural fragrances and an international presence, Sozio has become a key player in the perfumery landscape.


Summary:


Under limited supervision, evaluates formulations to comply with industry country specific, federal, state, local shipping and customer guidelines in Asia and India.



We recruit a Regulatory affairs manager



Role & Responsibilities


Under the direction of the Regulatory Director, the regulatory manager will:

  • Review formulations to ensure compliance with industry and customer guidelines.
  • Request product information from suppliers as needed to satisfy customer fragrance needs within department guidelines.
  • Maintain master files for Material Safety Data Sheets for raw materials and other vendor information.
  • Process regulatory technical correspondence for sales and customers, and maintains master files on submissions.
  • Perform other duties as time and customers dictate.
  • Provide responses to regulatory agencies regarding product information or issues.
  • Maintain current knowledge of relevant regulations, including proposed and final rules.
  • Manage activities such as audits, regulatory agency inspections.
  • Provide regulatory guidance to departments or development project teams regarding design, development, evaluation, or marketing of products.
  • Other duties may be assigned.


Education

  • High school Diploma or equivalent.


Professional Experience

  • 5 years of work experience in a related field.


Skills & Competencies

  • Reliable and punctual attendance required.
  • Regulatory knowledge.
  • Computer knowledge and able to operate a computer.
  • Understand complex regulations and basics in chemistry.
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CS, Compliance & Legal Specialist

Mumbai, Maharashtra GetVantage

Posted 13 days ago

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Job Description

Company Description

GetVantage is a leading Embedded Finance fintech that reshapes the landscape of small business finance to democratize access to crucial working capital for MSMEs in India. Founded in 2019, it operates on principles of being founder-friendly and revenue-first by providing non-dilutive, fair, and transparent growth capital. Utilising a tech and data-driven approach, the company empowers business-owners with access to working capital ranging from INR 2 lacs to INR 20 Cr. in as fast as 7 days. GetVantage has a growing portfolio of over 1,600 businesses across various industries and is the only non-dilutive fintech platform in India with an RBI-licensed NBFC.


About the Role:

We are looking for an experienced professional to handle legal, compliance, and secretarial functions in our fintech/NBFC business. The role involves contract management, regulatory compliance, corporate governance, and support for strategic transactions.


Key Responsibilities:

  • Draft, review, and negotiate contracts, including loan agreements, vendor/SaaS contracts, NDAs, and partnership agreements.
  • Provide legal advisory on lending products, co-lending, securitization, and debt instruments.
  • Manage disputes, litigation, and enforcement proceedings.
  • Ensure compliance with RBI regulations, digital lending guidelines, KYC/AML, data privacy, and other fintech regulations.
  • Draft policies, SOPs, and handle regulatory audits and inspections.
  • Maintain statutory compliance, organize board meetings/AGMs, file ROC/RBI forms, and manage ESOP/share capital changes.


Qualifications:

  • LLB (LLM preferred) with 5+ years in legal, compliance, or secretarial roles in fintech/NBFC/financial services.
  • Strong knowledge of corporate laws, RBI regulations, and fintech compliance frameworks.
  • Excellent contract drafting, negotiation, and regulatory handling skills.


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Manager - Regulatory Affairs - CRLB - Mumbai

Mumbai, Maharashtra Abbott

Posted 4 days ago

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Job Description

MAIN PURPOSE OF ROLE
Summarize the main purpose of the role.
Specialist professional individual contributor with comprehensive knowledge in the area of Regulatory Affairs.
Ability to execute highly complex or specialized projects.
Adapts precedent and may make significant departures from traditional approaches to develop solutions.
MAIN RESPONSIBILITIES
- As the Specialist in the Regulatory Affairs Sub-Function, considered as highly experienced and knowledgeable resource within the organization in directing development of product registration submission, progress reports, supplements, amendments, or periodic experience reports.
- Interacts with regulatory agency to expedite approval of pending registration.
- Serves as regulatory liaison throughout product lifecycle.
- Participates in some of the following: product plan development and implementation, regulatory strategy, risk management, chemistry manufacturing control (CMC).
- Ensures timely approval of new drugs, biologics or medical devices and continued approval of marketed products.
- Serves as regulatory representative to marketing, research teams and regulatory agencies.
- Advises development and/or marketing teams on manufacturing changes, line extensions, technical labeling, appropriate regulations and interpretations.
QUALIFICATIONS
Education
Education Level Major/Field of Study Or Education Level
Associates Degree (± 13 years)
Experience/Background
Experience Experience Details
Minimum 7 years
An Equal Opportunity Employer
Abbot welcomes and encourages diversity in our workforce.
We provide reasonable accommodation to qualified individuals with disabilities.
To request accommodation, please call or email
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Manager Regulatory Affairs Human Pharma - Mumbai

Mumbai, Maharashtra Boehringer Ingelheim

Posted 4 days ago

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Job Description

**The Position**
To Manage & execute the local RA activities according to ROPU RA strategies and local business priorities within the defined timelines. Maintain product registrations and RA databases, ensuring business continuity in compliance with internal and external regulations and requirements. Provide regular regulatory intelligence on changes in regulatory environment, competitor activity and opportunities to enable the business to realize risk or opportunities arising in the RA environment. Collaborate cross-functionally and make sure that all relevant stakeholders are timely and pro-actively updated on relevant RA topics. Have a strong interaction and partnership with the assigned authorities across in the OPU/cluster. Maintain efficient relationships with related Regulatory service Providers (local agents and vendors). Carry out agreed actions for the assigned local projects. Can deputize the OPU RA Head in external & internal stakeholders' engagement as required. Support the OPU RA head in the continuous development of the team.
**Tasks & Responsibilities**
+ Timely execution of RA activities as per the META strategy and the OPU business priorities.
+ Compilation of the dossier as per local regulations and requirements.
+ Maintain MA and support product shipments.
+ Engagement with local graphic offices (if applicable) and maintenance of RA databases.
+ Tracking and archiving the acknowledgments/dossier in hard and soft copies on common drive.
+ Involved in Budget preparation.
+ Deputize OPU Head of RA in escalation discussion for product and non-product local topics to ROPU.
+ Encourage innovation in our daily activities.
+ Communicate and discuss new/updated information within regulatory environment, competitive regulatory intelligence and/or new requirements in the country with the OPU and META stakeholders.
+ Support to compile the required regulatory expertise to support future BI portfolio.
+ Adherence to BI SOPs, ROPU processes and local regulations.
+ Contribute to CAPA process as appropriate.
+ Perform day-to-day tasks with expected Quality.
+ Contribute in risk/crisis management.
+ Health Authority Interactions.
+ Maintain successful Regulatory service Provider (RSP) relationship.
+ Implement the OPU cross-functional interaction plan.
+ Be a valued partner to other functions in Human Business Pharma (e.g. ClinOps, Market Access, Marketing, Medicine, PV, Legal, Supply Chain, Communication, QM, etc.), empowering them to understand the regulatory requirements and implications for their business area.
+ Participate actively in the Brand teams & other related brand meetings.
+ Provide timely input to line manager on topics supporting ROPU and Global projects.
+ Provide regulatory Intelligence to line manager to support local project team (where applicable).
+ Active sharing of regulatory expertise/experience with local regulatory team.
+ Prioritize personal development as per competency framework and business need
+ Practice innovation mindset and operational excellence.
+ Direct influence on new drug application in the scope of assigned TA responsibility and consequently the relevant launch. Ensure assigned product license validity to secure sustainability of the current business.
+ Advise Local OPU RA head on arising business opportunities that can Support local to accelerate both patient access to BI innovative solution and business growth.
+ Execute business priorities for product of responsibility , achieve timelines for assigned RA projects and enable OPU to support ROPU to realize the brand growth & achieve the targeted values.
+ Fully accountable for the performance in execution of assigned product regulatory activities & able to take actions and decisions to achieve the agreed objectives.
+ Able & empowered to take decisions on behalf of the OPU RA head in particular situations as assigned.
+ Contribute to securing the OPU LTF figures and budget for the assigned product responsibility and achieve targeted business growth.
+ Responsible for providing the RA activity fees and keeping within this limit to support OPU budget calculations & support OPU RA Head in budget consolidation.
**Requirements**
+ Education: Bachelor's degree in pharmacy or similar medical education
+ Pharma experience with regulatory focus in a multi-national for at least 4-6 years.
+ Experience of direct interactions with Regulatory Authorities.
+ Prior people management experience is an asset.
+ Skills and competencies should match at least the entry level of the Competency frame work for the OPU Manager RA.
+ Demonstrating RA knowledge, critical thinking and problem solving.
+ Leading by example and demonstrating sound business acumen.
+ Demonstrating cross functional collaboration & accountability
+ Effective negotiation and communication and agility to changes.
+ Solid understanding of D&C Act and Rules.
+ Understanding of working practices at HA.
+ Position is based at Mumbai
**READY TO APPLY?**
Click the _"Apply On Company website"_ button. Create an account or sign in and continue to register your profile, upload your resume, and apply in the company site.
For any technical issues or additional questions, contact HR Direct. (Note: resumes should not be submitted to HR Direct since job applications are not processed via email or phone call)
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All qualified applicants will receive consideration for employment without regard to a person's actual or perceived race, including natural hairstyles, hair texture and protective hairstyles; color; creed; religion; national origin; age; ancestry; citizenship status, marital status; gender, gender identity or expression; sexual orientation, mental, physical or intellectual disability, veteran status; pregnancy, childbirth or related medical condition; genetic information (including the refusal to submit to genetic testing) or any other class or characteristic protected by applicable law.
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Compliance Officer

Mumbai, Maharashtra SKS Enterpprises - Human Resource Planning and Management

Posted 6 days ago

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Job Description

Position Name - Compliance Officer

Location - Mumbai

Experience Range - 5 to 8 years

Job Roles and Responsibilities:

  • The role involves end-to-end responsibility for fund administration, investor servicing, compliance, and coordination with key stakeholders for Indias leading early-stage Angel fund(s).
  • The position requires strong regulatory understanding, financial acumen, and client-facing capability to support fund operations and governance.
  • Coordinate with Custodian, RTA, Fund Accountant, and banks for fund-related operations.
  • Manage account opening (bank/demat) with custodians and ensure timely fund movement.
  • Handle documentation for AIF/PMS investor onboarding and fund operations.
  • Prepare and manage corporate actions, dematerialization of units, and investor records.
  • Portfolio valuation, NAV computation, and cashflow preparation.
  • Manage month-end Management Fee booking and ensure accurate accounting treatment.
  • Prepare and circulate MIS reports to Founders/Management on fund performance and cash positions.
  • Prepare and review compliance and regulatory reports to SEBI, Trustees, and Investors.
  • Ensure adherence to SEBI AIF Regulations, RBI Regulations, PMLA, and other applicable laws.
  • Draft and update policies, procedures, and internal control SOPs in line with regulatory changes.
  • Prepare compliance test reports, quarterly filings, and ensure timely submissions.
  • Maintain documentation for Board and Committee meetings, minutes, and governance records.
  • Interface with auditors, legal counsel, and regulators on compliance/audit matters.
  • Monitor investment limits and ensure periodic review of portfolio-level compliance.

Qualification and Experience:

  • Chartered Accountant (CA) / Company Secretary (CS) / MBA Finance with 5–8 years of experience in AIF/PMS fund administration and compliance.
  • NISM XIX C or XIX D certification.
  • Strong understanding of SEBI AIF Regulations, fund accounting, and investor reporting.
  • Proficiency in MS Excel and financial analysis; excellent drafting and communication skills.
  • Strong coordination, stakeholder management, and time management abilities.
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Compliance Officer

Mumbai, Maharashtra Virtuous Advisors & Resources Private Ltd (Virtuous Resources)

Posted 8 days ago

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Job Description

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

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