Compliance Manager
APTO SOLUTIONS - EXECUTIVE SEARCH & CONSULTANTS Mumbai
Job Description
Role: Compliance ManagerExperience: 3-4 years (CA) / 10-12 Years (CA Intermediate)
Qualifications: CA, CA Intermediate
Location - Mumbai(Santacruz E)
Key Responsibilities:
- Establish a Compliance Management System to ensure adherence
- Cultivate a compliance culture through policies and training sessions
- Educate stakeholders on their obligations and reporting requirements
Maintain Compliance:
- Track key compliances efficiently
- Assist in preparing compliance certificates
- Report major non-compliances promptly to Management
Manage Compliance Tools:
- Oversee compliance management tools effectively
- Coordinate onsite assessments and due diligence processes
- Keep applicable compliances up to date
Notice Handling:
- Assist in drafting responses to notices professionally
- Ensure timely responses and maintain a notice repository
- Generate periodic MIS reports for review
Assurance & Audit:
- Develop audit plans and conduct Compliance Audits
- Monitor non-compliances closely and provide support for rectification
State Street CorporationMumbai
Investment compliance monitoring or coding experience is a must. (Pre or post-trade investment compliance)
• Certifications: Candidates pursuing FRM (Financial Risk Manager by GARP) / CFA (Chartered Financial Analyst) / CISI (Chartered Institute...
DHL Aero ExpresoMumbai
Job Description
Job Title: Compliance Manager
Function: Finance
Reports to: Chief Financial Officer
Location: Mumbai
About Blue Dart Express India
Blue Dart Express India, a leader in the logistics and express delivery sector, is part of the DHL...
LXMEMumbai
fearless women to achieve their dreams and aspirations.
Role Description
This is a full-time, on-site Compliance Manager role located in Mumbai at LXME. The Compliance Manager will be responsible for ensuring the company&aposs adherence to regulatory...