3 Compliance Advisory Jobs

Ability to work as part of a global team as we'll as act as project lead on various compliance matters Familiar with the risk and compliance function of asset management Understanding the development and implementation of compliance programs Ability to deal with business personnel and deliver good compliance outcomes in time constrained situations RESPONSIBILITIES Provide Compliance support and representation on AWM strategic initiatives Review and approval of financial promotion materials Provide daily compliance surveillance of AWM portfolios for regulatory requirements and applicable policies and procedures Assistance in the production of board reports Participate in the review and evaluation of new instruments and vehicles to identify compliance issues and surveillance needs Develop and draft compliance policies and procedures, outlining firm policies, regulations and best practices Ensure breaches and complaints are logged and cover the compliance aspect of the sign off Create compliance training programs Compliance advisory regarding global asset management marketing and distribution questions: UCITS/Non-UCITS/cross border distribution Review and approval of due diligence on third party distributors Compliance advisory on new AWM fund launch projects Preparation, organization, and delivery of compliance trainings Miscellaneous projects as required QUALIFICATIONS 3 years regulatory risk or compliance experience (asset management experience preferred) Highly motivated risk and control focused individual with excellent judgment Knowledge of investment instruments including derivatives General compliance knowledge and familiarity with asset management regulations Effective analytical and organizational skills Strong verbal and written communication skills Ability to handle multiple tasks with attention to detail and work under pressure Ability to work both independently and as part of a team

Role : Admin and Compliance Officer Experience : 5 to 7 Years Location : Pune Qualification : b.com Job Description : Compliance & IR: Ensure all factory compliances e.g. ER I, Half yearly returns, Annual return. Maintain Statutory Registers and Returns. Liasoning with Labour Office, DISH Office, PF, ESIC, LWF. Review agreements and extension from time to time. Handling PF related queries and PF/ESIC compliances. Track Over time and work closely with Production teams and ensure its compliance as per statutory limit. Compliances tracking. Maintain discipline on the shop floor and resolve employee queries. Establish shop floor connect and grievance redressal Disciplinary actions e.g., Show cause and domestic Inquiry process General Administration: Oversee Canteen management, Employee Transportation, Security, Housekeeping of factory location Oversee office management activities: Gardening, stationary, courier, telephone, coordination, AMC, provisions, vendor invoice and payment etc. Ensure Mediclaim and Annual Health Check-up in co-ordination with agency Ensuring zero accident & safe working conditions in the plant Follow EHS guidelines for cleanliness, safety & security of natural resources Handling Courier management Maintaining Documents and other important registers e.g. Visitor management system Processing monthly bills for different vendors and admin related activities. Payroll : Responsible for daily attendance updates in system. Responsible for processing monthly salary and wages on time. Updating Employees movement (Hiring/ Separation/ Leaves/ Personal details in System, Workday) Updating of Employee Master (Hiring process for new joinees/ confirmation/ probation/separation /termination) of all company roll employees in System/ Workday. Preparation and Distribution of various letters e.g. Appointment letter, confirmation letter, trainees letter, transfer letter, relieving letter to employees on a timely basis. Responsible for complete exit formalities while separating the employee i.e. full & final amount, clearance, relieving certificates, and exit interview. Support Plant HR Head in preparation of various MIS e.g. monthly MIS for the plant. Co-ordination of various welfare activities Casual Labour Management : Arrangement & Deployment of contract labour as per requirement of various functions in plant Coordinating with Induction training and its record for casual manpower, NAPS, Apprentices Ensuring CLM compliance & billing formalities of all contractors Monitoring attendance of contract labours. Attendance of Apprentices, NAPS and other floating manpower. Others: Coordinate for Engagement Activities in Plant Assist immediate manager to ensure statutory compliance Monitoring and issuing Identity Cards to employees. Monitoring Printing / Stationary of HR Dept. Monitoring & updating Long Service Award/Gratuity data in system. Co-ordination of various welfare activities. Maintaining Training records as per Unifrax requirement. Assist immediate managers for various other HR activities Report this listing

Role : Regulatory Compliance Auditor Qualification ; B.com Experience : 1 to 2 Years Location : New Delhi Job Description : We are seeking a detail-oriented and proactive Regulatory Compliance Auditor to join our compliance team. In this role, you will be responsible for ensuring adherence to regulatory requirements across various financial operations by conducting audits, identifying risks, and supporting the implementation of corrective actions. Key Responsibilities: Plan and execute audits to evaluate compliance with relevant regulatory requirements. Analyze regulatory changes and assess their impact on the organization's operations and controls. Identify, document, and report compliance risks, control weaknesses, and operational issues. Develop and monitor the implementation of corrective action plans to address identified issues. Communicate audit findings and compliance recommendations clearly to management and stakeholders. Stay current with industry regulations, standards, and best practices. Collaborate with internal audit, risk, and compliance teams to support a strong control environment. A Day in the Life : As a Regulatory Compliance Auditor, your day may include reviewing regulatory guidelines, conducting interviews with business units, analyzing operational data for compliance, and drafting audit reports with findings and recommendations. You'll play a key role in helping the organization navigate an ever-evolving regulatory landscape.