18 Compliance Associate Jobs

Third Bridge is a market-leading investment research firm. We provide integrated solutions for the world s top investors and business leaders to help them make smarter and faster decisions. No other company in the world provides the same holistic investment offering: our superpower is the combination of human insights and unique investor-led content with a global expert network. We serve over 1,000 investment firms, offering clients 24/7 coverage through our team of 1,300+ employees located across nine offices. Job Description Position Overview At Third Bridge, our Compliance framework is an integral part of our business and we are looking to hire a Compliance Associate dedicated to Third Bridge s Content department to join our Compliance team in Mumbai. Third Bridge content involves an array of interview formats with industry experts and transcripts of those interactions are made available to our clients through our portal. This is a fast-paced role with a focus on problem solving, attention to detail, stakeholder engagement and results to ensure that content is compliant with legislative and regulatory requirements, as well as with our internal policies. Responsibilities Reviewing and approving the proposed subject matters of interviews and experts Reviewing and approving interview transcripts, specifically to identify confidential information and any potentially inappropriate content Working with in-house analysts to finalize content for publication ensuring compliance with internal processes and procedures Answering day-to-day compliance queries from business units and clients Delivering compliance training to new and existing employees Working on ad-hoc projects as directed by management Qualifications Skills Organized with excellent attention to detail for proofreading and identifying compliance issues Excellent oral and written English communication skills Ability to understand and interpret complex financial concepts from a compliance perspective Ability to develop strong working relationships across the organization, working with all levels and all offices globally Qualifications Bachelors Degree with 2 to 3 years of relevant experience within compliance Previous compliance experience within financial services highly desirable but not essential Working Hours: Please note there are two roles available to predominantly support the UK and US offices. This role will be fully remote and working hours will be 6.30pm to 3.30am IST or as adjusted to support 9am-6pm ET (New York), Monday to Friday. Additional Information How will you be rewarded Competitive Compensation: Enjoy a competitive salary reflective of your skills and experience. Time Off: Benefit from 18 days of paid time off (PTO), 8 fixed holidays, 1 floating holiday, and 8 casual leaves. PTO increases with tenure. Learning Development: Receive a personal development reimbursement yearly for customised learning programs. Additionally, a dedicated budget supports studies and job-related qualifications. Health Well-being: Access private medical insurance, maternity benefits, and engage in various events promoting mental health. Life Cover: Automatically enrolled in Life Insurance cover from your date of hire, providing coverage 4x the annual CTC. Flexibility: Embrace our work-from-anywhere policy, hybrid work options, and enjoy "Winter Fridays." Fun at Work: Unwind in our breakout area with games like foosball, Table Tennis, and PlayStation5. Recognition Rewards: Earn points through our colleague-to-colleague recognition program, redeemable for hotels, gift cards, charity donations, and more. Snacks Refreshments: Stay energised with daily snacks, tea, and coffee provided. CSR Days: Contribute to social responsibility with 2 CSR days annually - take time off to volunteer. Equal Opportunity Employer: Third Bridge is proud to foster diversity and inclusion. All qualified applicants will be considered without regard to race, color, religion, sex, national origin, disability, veteran status, or any other status protected under local laws. The successful candidate must, by the start of the employment, have permission to work in the country they are applying We know that to be truly innovative, we need to have a diverse team around us. That is why Third Bridge is committed to creating an inclusive environment and is proud to be an equal opportunity employer. If you are not 100% sure if you are right for the role, please apply anyway and we will be happy to consider your application.

Third Bridge is a market-leading investment research firm. We provide integrated solutions for the world s top investors and business leaders to help them make smarter and faster decisions. No other company in the world provides the same holistic investment offering: our superpower is the combination of human insights and unique investor-led content with a global expert network. We serve over 1,000 investment firms, offering clients 24/7 coverage through our team of 1,300+ employees located across nine offices. Job Description Position Overview At Third Bridge, our Compliance framework is an integral part of our business and we are looking to hire a Compliance Associate dedicated to Third Bridge s Content department to join our Compliance team in Mumbai. Third Bridge content involves an array of interview formats with industry experts and transcripts of those interactions are made available to our clients through our portal. This is a fast-paced role with a focus on problem solving, attention to detail, stakeholder engagement and results to ensure that content is compliant with legislative and regulatory requirements, as well as with our internal policies. Responsibilities Reviewing and approving the proposed subject matters of interviews and experts Reviewing and approving interview transcripts, specifically to identify confidential information and any potentially inappropriate content Working with in-house analysts to finalize content for publication ensuring compliance with internal processes and procedures Answering day-to-day compliance queries from business units and clients Delivering compliance training to new and existing employees Working on ad-hoc projects as directed by management Qualifications Skills Organized with excellent attention to detail for proofreading and identifying compliance issues Excellent oral and written English communication skills Ability to understand and interpret complex financial concepts from a compliance perspective Ability to develop strong working relationships across the organization, working with all levels and all offices globally Qualifications Bachelors Degree with 2 to 3 years of relevant experience within compliance Previous compliance experience within financial services highly desirable but not essential Working Hours: Please note that this role is to predominantly support the UK and US offices. This role will be fully remote and working hours will be 1.30pm to 10.30pm IST Monday to Friday . Additional Information How will you be rewarded Competitive Compensation: Enjoy a competitive salary reflective of your skills and experience. Time Off: Benefit from 18 days of paid time off (PTO), 8 fixed holidays, 1 floating holiday, and 8 casual leaves. PTO increases with tenure. Learning Development: Receive a personal development reimbursement yearly for customised learning programs. Additionally, a dedicated budget supports studies and job-related qualifications. Health Well-being: Access private medical insurance, maternity benefits, and engage in various events promoting mental health. Life Cover: Automatically enrolled in Life Insurance cover from your date of hire, providing coverage 4x the annual CTC. Flexibility: Flexible work options, such as Work from Anywhere program and flex days, offered at the company s discretion and subject to annual review. Fun at Work: Unwind in our breakout area with games like foosball, Table Tennis, and PlayStation5. Snacks Refreshments: Stay energised with daily snacks, tea, and coffee provided. CSR Days: Contribute to social responsibility with 2 CSR days annually - take time off to volunteer. Equal Opportunity Employer: Third Bridge is proud to foster diversity and inclusion. All qualified applicants will be considered without regard to race, color, religion, sex, national origin, disability, veteran status, or any other status protected under local laws. The successful candidate must, by the start of the employment, have permission to work in the country they are applying We know that to be truly innovative, we need to have a diverse team around us. That is why Third Bridge is committed to creating an inclusive environment and is proud to be an equal opportunity employer. If you are not 100% sure if you are right for the role, please apply anyway and we will be happy to consider your application.

Third Bridge is a market-leading investment research firm. We provide integrated solutions for the world s top investors and business leaders to help them make smarter and faster decisions. No other company in the world provides the same holistic investment offering: our superpower is the combination of human insights and unique investor-led content with a global expert network. We serve over 1,000 investment firms, offering clients 24/7 coverage through our team of 1,300+ employees located across nine offices. Job Description Position Overview At Third Bridge, our Compliance framework is an integral part of our business and we are looking to hire a Compliance Associate dedicated to Third Bridge s Content department to join our Compliance team in Mumbai. Third Bridge content involves an array of interview formats with industry experts and transcripts of those interactions are made available to our clients through our portal. This is a fast-paced role with a focus on problem solving, attention to detail, stakeholder engagement and results to ensure that content is compliant with legislative and regulatory requirements, as well as with our internal policies. Responsibilities Reviewing and approving the proposed subject matters of interviews and experts Reviewing and approving interview transcripts, specifically to identify confidential information and any potentially inappropriate content Working with in-house analysts to finalize content for publication ensuring compliance with internal processes and procedures Answering day-to-day compliance queries from business units and clients Delivering compliance training to new and existing employees Working on ad-hoc projects as directed by management Qualifications Skills Organized with excellent attention to detail for proofreading and identifying compliance issues Excellent oral and written English communication skills Ability to understand and interpret complex financial concepts from a compliance perspective Ability to develop strong working relationships across the organization, working with all levels and all offices globally Qualifications Bachelors Degree with 2 to 3 years of relevant experience within compliance Previous compliance experience within financial services highly desirable but not essential Working Hours: Please note that this role is to predominantly support the UK and US offices. This role will be fully remote and working hours will be 1.30pm to 10.30pm IST Monday to Friday . Additional Information How will you be rewarded Competitive Compensation: Enjoy a competitive salary reflective of your skills and experience. Time Off: Benefit from 18 days of paid time off (PTO), 8 fixed holidays, 1 floating holiday, and 8 casual leaves. PTO increases with tenure. Learning Development: Receive a personal development reimbursement yearly for customised learning programs. Additionally, a dedicated budget supports studies and job-related qualifications. Health Well-being: Access private medical insurance, maternity benefits, and engage in various events promoting mental health. Life Cover: Automatically enrolled in Life Insurance cover from your date of hire, providing coverage 4x the annual CTC. Flexibility: Embrace our work-from-anywhere policy, hybrid work options, and enjoy "Winter Fridays." Fun at Work: Unwind in our breakout area with games like foosball, Table Tennis, and PlayStation5. Recognition Rewards: Earn points through our colleague-to-colleague recognition program, redeemable for hotels, gift cards, charity donations, and more. Snacks Refreshments: Stay energised with daily snacks, tea, and coffee provided. CSR Days: Contribute to social responsibility with 2 CSR days annually - take time off to volunteer. Equal Opportunity Employer: Third Bridge is proud to foster diversity and inclusion. All qualified applicants will be considered without regard to race, color, religion, sex, national origin, disability, veteran status, or any other status protected under local laws. The successful candidate must, by the start of the employment, have permission to work in the country they are applying We know that to be truly innovative, we need to have a diverse team around us. That is why Third Bridge is committed to creating an inclusive environment and is proud to be an equal opportunity employer. If you are not 100% sure if you are right for the role, please apply anyway and we will be happy to consider your application.

The Core Restricted Products (RP) teams charter is to protect Amazon customers from products that are illegal, illegally marketed, or otherwise prohibited or restricted by Amazon policies job responsibilities as a Product Compliance Associate may include: Report violations of rules, regulations, policies, and procedures by evaluating or recommending the initiation of investigative and corrective procedures Classify products based on SOP Follow SOP and instructions provided by managers Provides ideas for process improvements to enhance process efficiency, quality and customer experience Respond to stakeholders with guidance and flags any updates to Lead/Manager A day in the life The RP-Ops team ensures that Amazon transactions satisfy legal and safety requirements in accordance to the guidelines across global marketplaces. We proactively identify risks involved for Amazon while doing business in various countries and enable smooth flow of products across international borders. A Product Compliance Associate is responsible for protecting Amazon customers from products that are illegal, hazardous, unsafe, or otherwise prohibited /regulated by Law and Amazon policies. Duties may also include defining, applying, and defending regulatory policy and contractual requirements. Your job responsibilities as a Product Compliance Associate may include: 1+ years of data-driven business operations processes experience Bachelors degree Speak, write, and read fluently in English Experience with Microsoft Office products and applications Experience with Excel Knowledge of consumer product compliance processes and regulations Experience in regulatory compliance management with government agencies

End Date Thursday 30 October 2025 We Support Flexible Working - Click here for more information on flexible working options Flexible Working Options Hybrid Working Job Description Summary Youll join us in the Compliance team, supporting the development and implementation of compliance programs for Lloyds Technology Centre, India (LTC) Job Description Job Title: Compliance Associate Grade: C Country: India Location: Hyderabad Lloyds Technology Centre, Hyderabad, India About Us: Our new technology centre in Hyderabad is home to highly skilled technology and data specialists who drive our transformation and deliver great outcomes for our customers. Our office is situated in a sought-after location with easy transport links and excellent facilities, all aimed at enabling you to achieve a great work-life balance. Working with us means being part of our aspirational and transformative journey of redefining the fintech landscape while building an organisation that welcomes all. We re committed to providing an exceptional employee experience through our policies, practices, and development opportunities to support you in achieving your potential. Opportunity to be a part of a mission; shaping finance as a force for good - Our mission is to create a sustainable and inclusive future for people and businesses, shaping finance as a force for good. We play a key part in delivering this and are guided by our values in shaping the way we work and make decisions. This creates an environment where colleagues love to work and can make a positive impact. Range of exclusive benefits and rewards - We value your contributions and will ensure that your total reward experience reflects the expertise you bring and the impact you create. We strive to provide a holistic proposition that meets your wellbeing needs. Our total reward practices help us create an ecosystem where you can thrive, ensuring your essential needs are met so you can focus on your personal growth and future success. Career elevating opportunities - You will be empowered to take charge of your career journey through personalized career mentorship from experienced mentors, leadership development programs, and stretch assignments. You will be able to access opportunities for continuous learning and exposure to new experiences through job shadowing and cross-functional collaboration on projects. Future skill building opportunities - We are committed to helping you achieve your personal and professional aspirations. You will have access to role-specific learning pathways & training, targeted accelerated development programs, and professional certifications & qualifications. Inclusive and diverse workplace - You will be part of an inclusive workplace where everyone feels valued, respected, and empowered. We embrace and celebrate diversity at every level of our workforce, valuing and respecting you for your unique identity. What you ll do: Youll join us in the Compliance team, supporting the development and implementation of compliance programs for Lloyds Technology Centre, India (LTC). Key Responsibilities: Assist in developing, implementing, and updating compliance policies and procedures to ensure adherence to all applicable laws, regulations, and industry standards. Conduct regular compliance audits and assessments to identify areas of risk or non-compliance and recommend corrective actions. Provide guidance and training to employees on compliance-related matters, including regulatory requirements and ethical standards. Collaborate with internal stakeholders, such as legal, finance, and operations teams, to address compliance issues and develop effective solutions. Stay informed about changes in relevant laws, regulations, and industry best practices and ensure that the companys compliance efforts are up to date. Investigate and respond to reports of potential compliance violations, including conducting interviews and gathering evidence as necessary. Prepare and submit reports to regulatory agencies as required, ensuring accuracy and timeliness. Maintain documentation and records related to compliance activities, including audit findings, remediation efforts, and training initiatives. What you ll need: Fresh graduate with an LLB degree. Basic knowledge of relevant laws, regulations, and industry standards, such as labour laws, tax laws, etc., in the India jurisdiction. Excellent analytical and problem-solving skills, with the ability to identify compliance risks and develop effective solutions. Outstanding communication and interpersonal skills, with the ability to effectively collaborate with colleagues at all levels of the organization. Detail-oriented and organized, with the ability to manage multiple tasks and priorities in a fast-paced environment. High level of integrity and ethical conduct, with a commitment to upholding the companys values and compliance standards. Nice to have skills: Advanced degree or professional certification (e.g., Certified Compliance & Ethics Professional) preferred. Experience leveraging compliance platforms. Strong commitment to compliance and principles. Qualifications: Bachelors degree in law (LLB). Good written and verbal communication skills. Knowledge and experience in laws and regulations in the India jurisdiction. About working for Lloyds Technology Centre: Our new technology centre in Hyderabad will be home to highly skilled technology and data specialists who will be driving our transformation and delivering great outcomes for Lloyds Banking Group s customers. Our office is situated in a sought-after location that features easy transport links and excellent facilities, all aimed at enabling you to achieve a great work-life balance. Working with us means being part of our aspirational and transformative journey of redefining the fintech landscape while building an organisation that welcomes all. We re committed to providing an exceptional employee experience through our policies, practices, and development opportunities to support you in achieving your potential. This is a once-in-a-career opportunity to shape your future and help us make our mark in India. Are you ready to help shape your future, as well as ours? Join us and grow with purpose. Lloyds Technology Centre does not offer financial services in India.

Elevate is recruiting a Junior Compliance Associate to join our high performing Compliance Team. Specifically You Will Screen electronic communications quickly and effectively using client-developed guidelines on market abuse. Identify and escalate potential instances of market abuse. Work with client teams to ensure the efficient escalation of relevant cases. Assist with reports on the eCommunications Surveillance KPIs when necessary. Technical Skills Advanced knowledge of MS Excel Experience with any Compliance / Surveillance software will be an added advantage Experience Risk, Compliance or Global Markets experience is a plus. Previous work experience in a similar control/risk function within a business is a plus. Qualifications Excellent English communication skills. Degree in Economics, Business, Law preferred. Elevate is a law company. We provide software and services for the intersection of business and law. Our legal, business, and technology professionals offer practical ways for global law departments and law firms to improve efficiency, quality, and business outcomes. Our most recent achievements and distinctions include: For the ninth consecutive year, in 2024, Chambers & Partners named Elevate as a Top global services provider, ranking us as Band 1 (highest ranking) in all applicable categories (Contract Lifecycle Management, Litigation Services, and Flexible Legal Staffing) and as an Alternative Legal Service Providers in Asia-Pacific. For the fourth year in a row, Elevate s integrated law firm has been designated as a top law firm in Commercial Litigation in the 2024 edition of Best Lawyers/US News & World Report Best Law Firms. Newsweek awarded Elevate highest rating in the annual America s Greatest Workplaces for Diversity List and America s Greatest Workplace for 2024 list. Elevate was named a top ALSP in Asia by Thomson Reuters Asian Legal Business in 2024. Co-winner, 2022 Financial Times Collaborative Innovation Award for Industry Impact. Winner, Inc. 5000 Fastest-Growing Private Companies: 2022, 2021, 2020, 2018, 2017, and 2016. Named by ALM Intelligence as the only Pacesetter in the Legal category in its 2021-2022 Legal Department Legal Operations report. The first non-lawyer-owned global legal services provider to receive an Alternative Business Structure (ABS) License to provide legal services in the US. Learn more at https://elevate.law See more jobs at https://elevate.law/careers/ All qualified applicants will be considered for employment and will be treated equally during the process.

ARi India is looking for Associate - Cargo Operations to join our dynamic team and embark on a rewarding career journey. Assist in the daily operations of the organization. Perform administrative and support tasks as needed. Monitor and report on operational performance. Coordinate with other departments to ensure smooth operations. Provide excellent customer service to internal and external stakeholders. Maintain accurate records and documentation. Participate in training and development programs. Stay updated with the latest operational best practices. Provide feedback and suggestions for process improvements. Ensure compliance with operational policies and procedures.

Requirements: 5+ years of experience in SMS compliance, carrier regulations, or telecommunications compliance. Strong knowledge of 10DLC, SHAFT (Sex, Hate, Alcohol, Firearms, Tobacco) restrictions, opt-in/opt-out policies, and carrier filtering rules . Experience working with Twilio, Aerialink, Sinch, Vonage, or other major US VoIP service providers . Proactive approach to compliance, with a problem-solving mindset. Excellent customer communication skills , capable of educating clients on compliance and registration processes. Experience leading a team and ensuring projects are completed on time . Ability to work with auditors and ensure compliance requirements are met efficiently. Preferred Qualifications: Experience working directly with carriers or in a telecom regulatory role . Understanding of FCC, CTIA, TCPA, and GDPR compliance related to messaging. Prior experience in SMS/VoIP-based SaaS companies .

?Job Description ?Possessing a strong passion for teaching and a commitment to developing and delivering high-quality content for assigned courses. ?The required qualifications shall be as per UGC/BCI guidelines ?Should demonstrate a readiness to assume responsibility and embrace challenging opportunities, leveraging their knowledge and skills to the fullest extent. ?Responsibilities ?Deliver lectures, tutorials, and seminars on assigned legal subjects, ensuring effective and engaging instruction. ?Develop, update, and implement course content and syllabi to reflect current legal trends and standards. ?Conduct scholarly research in various areas of law and contribute to academic publications. ?Provide mentorship and academic counseling to students, guiding them through their academic and career development. ?Supervise student projects, internships, and moot court activities, ensuring practical application of legal principles. ?Design and conduct student assessments, providing constructive feedback on their progress and performance. ?Participate in departmental meetings, academic committees, and contribute to the development of institutional policies and programs

Job description Key Responsibilities: 1. Corporate Compliance and Secretarial Functions: Ensuring compliance with the provisions of the Companies Act, 2013 and related regulations. Filing statutory forms, returns, and other documents with the Registrar of Companies. Drafting and maintaining statutory registers, records, minutes of Board Meetings, General Meetings and Committee Meetings. Preparation of agenda, notices and resolutions for meetings. Assisting in drafting board reports and other corporate documents. 2. Incorporation and Structuring: Handling incorporation of new entities, including private and public limited companies, limited liability partnerships (LLPs) and other corporate structures. Coordinating with stakeholders for name approvals, drafting of Memorandum and Articles of Association and other incorporation formalities.

You are a strategic thinker passionate about driving solutions in Marketing Communications and Compliance . You have found the right team As a Marketing Communication Controls Compliance Analyst within our Communications Controls Group (CCG), you will spend each day defining, refining and delivering set goals for our firm. You will be supporting the U.S. Investment teams in their marketing efforts. You will be responsible for partnering with and providing regulatory guidance to various LOB(line of business) at every level, of our marketing and sales organization to build internal controls to help ensure marketing and other communications meets applicable regulatory standards. Job Responsibilities Create reliable internal controls and monitor adherence to those objectives. Collaborate with outside professionals, including external audit, Legal/Compliance, Risks and Controls Management as needed. Educate and train employees on all necessary marketing regulations and industry practices. Listen to and address employee concerns and questions on regulatory requirements. Required qualifications, capabilities and skills Bachelor s Degree in business administration, or a related field. Familiar with all aspects of asset management marketing and sales regulations. Including but not limited to the following regulatory body FINRA, the S.E.C, the O.C.C.; the DOL Atleast 6 years experience in the asset management industry in compliance or related function. Exceptional written and verbal communication skills. Track record of integrity and commitment to professional ethics. Strong business acumen. Excellent collaborative teamwork skills. Attention to detail and strategic thinking style. Critical thinking and attention to detail needed to evaluate business activities (e.g. guidelines and procedures) and assess compliance risk vs. business needs. Commitment to continued learning, remaining well-informed regarding internal standards and business goals.

At Third Bridge, our Compliance framework is an integral part of our business and we are looking to hire a Compliance Associate dedicated to Third Bridge s Content department to join our Compliance team in Mumbai. Third Bridge content involves an array of interview formats with industry experts and transcripts of those interactions are made available to our clients through our portal. This is a fast-paced role with a focus on problem solving, attention to detail, stakeholder engagement and results to ensure that content is compliant with legislative and regulatory requirements, as well as with our internal policies. Responsibilities Reviewing and approving the proposed subject matters of interviews and experts Reviewing and approving interview transcripts, specifically to identify confidential information and any potentially inappropriate content Working with in-house analysts to finalize content for publication ensuring compliance with internal processes and procedures Answering day-to-day compliance queries from business units and clients Delivering compliance training to new and existing employees Working on ad-hoc projects as directed by management Qualifications Skills Organized with excellent attention to detail for proofreading and identifying compliance issues Excellent oral and written English communication skills Ability to understand and interpret complex financial concepts from a compliance perspective Ability to develop strong working relationships across the organization, working with all levels and all offices globally Qualifications 2+ years of work experience in internal compliance Bachelors Degree or relevant experience within compliance Previous compliance experience within financial services highly desirable but not essential

The Compliance Advisor assists with broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. Working independently under general supervision, this job assists team members with identifying, investigating, and reporting compliance risks. Key Responsibilities and Duties Supports compliance risk assessments to identify compliance issues, concerns, and deficiencies. Assists with investigations in response to complaints and/or potential violations of rules, regulations, policies, and procedures. Supports organization and implementation of compliance audits. Assists with the design and implementation of corrective action plans to resolve problematic compliance issues and to ensure that compliance deficiencies are corrected. Drafts reports on the results of compliance and ethics initiatives of the business unit. Maintains documentation of compliance activities to provide a record of issues, and to ensure easy accessibility and retrieval of documents. Assists with the implementation of preventative measures and compliance processes, while contributing to the revision of policies and procedures to improve the general operation of business unit compliance programs as needed. Educational Requirements University (Degree) Preferred Work Experience 2+ Years Required; 3+ Years Preferred Physical Requirements Physical Requirements: Sedentary Work

Key Responsibilities: Policy and Procedure Development: Develop, implement, and maintain compliance policies and procedures in alignment with SEBI regulations and guidelines. Compliance Reviews, Audits, and Regulatory Monitoring: Conduct regular compliance reviews and audits to evaluate adherence to regulatory requirements, identify areas for enhancement, and monitor changes in SEBI regulations and industry best practices. Proactively address emerging compliance issues. Training and Guidance: Provide compliance training and guidance to employees to enhance awareness and understanding of regulatory requirements. Compliance Investigations and Collaboration: Investigate and respond to compliance inquiries, complaints, and regulatory inquiries promptly and effectively. Collaborate with internal departments, including legal, risk management, and operations, to address compliance-related matters. Implement corrective actions as necessary. Regulatory Reporting and Examinations: Prepare and submit regulatory reports and filings to SEBI authorities accurately and in a timely manner. Serve as the primary point of contact for SEBI regulators and coordinate regulatory examinations and inspections as required. Industry Awareness and Compliance Framework: Stay informed about industry trends, regulatory developments, and emerging risks. Provide strategic advice and recommendations to senior management. Ensure implementation of regulatory and corporate compliances with respect to SEBI and other regulatory authorities.

The Compliance Advisor assists with broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. Working independently under general supervision, this job assists team members with identifying, investigating, and reporting compliance risks. Key Responsibilities and Duties Supports compliance risk assessments to identify compliance issues, concerns, and deficiencies. Assists with investigations in response to complaints and/or potential violations of rules, regulations, policies, and procedures. Supports organization and implementation of compliance audits. Assists with the design and implementation of corrective action plans to resolve problematic compliance issues and to ensure that compliance deficiencies are corrected. Drafts reports on the results of compliance and ethics initiatives of the business unit. Maintains documentation of compliance activities to provide a record of issues, and to ensure easy accessibility and retrieval of documents. Assists with the implementation of preventative measures and compliance processes, while contributing to the revision of policies and procedures to improve the general operation of business unit compliance programs as needed. Educational Requirements University (Degree) Preferred Work Experience 2+ Years Required; 3+ Years Preferred Physical Requirements Physical Requirements: Sedentary Work

The Compliance Advisor assists with broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. Working independently under general supervision, this job assists team members with identifying, investigating, and reporting compliance risks. Key Responsibilities and Duties Supports compliance risk assessments to identify compliance issues, concerns, and deficiencies. Assists with investigations in response to complaints and/or potential violations of rules, regulations, policies, and procedures. Supports organization and implementation of compliance audits. Assists with the design and implementation of corrective action plans to resolve problematic compliance issues and to ensure that compliance deficiencies are corrected. Drafts reports on the results of compliance and ethics initiatives of the business unit. Maintains documentation of compliance activities to provide a record of issues, and to ensure easy accessibility and retrieval of documents. Assists with the implementation of preventative measures and compliance processes, while contributing to the revision of policies and procedures to improve the general operation of business unit compliance programs as needed. Educational Requirements University (Degree) Preferred Work Experience 2+ Years Required; 3+ Years Preferred Physical Requirements Physical Requirements: Sedentary Work

Key Responsibilities: 1. Corporate Compliance and Secretarial Functions: Ensuring compliance with the provisions of the Companies Act, 2013 and related regulations. Filing statutory forms, returns, and other documents with the Registrar of Companies. Drafting and maintaining statutory registers, records, minutes of Board Meetings, General Meetings and Committee Meetings. Preparation of agenda, notices and resolutions for meetings. Assisting in drafting board reports and other corporate documents. 2. Incorporation and Structuring: Handling incorporation of new entities, including private and public limited companies, limited liability partnerships (LLPs) and other corporate structures. Coordinating with stakeholders for name approvals, drafting of Memorandum and Articles of Association and other incorporation formalities.

Job Description Job Title Communication Surveillance, Compliance, Associate Location Bangalore, India Role Description The Compliance Department protects the Bank by advising on ethical conduct, identifying regulatory solutions, safeguarding integrity, and reputation, and promoting, in partnership with the business, a culture of Compliance. Given the increasing regulatory scrutiny and the need to implement a robust and globally consistent control framework, an effective Central Compliance function is a key component to the Department s success. The position will be based in India and requires the candidate to work in APAC hours. What we ll offer you As part of our flexible scheme, here are just some of the benefits that you ll enjoy Best in class leave policy Gender neutral parental leaves 100% reimbursement under childcare assistance benefit (gender neutral) Sponsorship for Industry relevant certifications and education Employee Assistance Program for you and your family members Comprehensive Hospitalization Insurance for you and your dependents Accident and Term life Insurance Complementary Health screening for 35 yrs. and above Your key responsibilities Review and fully investigate Communication Surveillance alerts /escalations and communicate the same in a timely manner to the Onshore team. Liaise with Country Compliance Officers, the business, Operations or Technology in the development, review, testing and/or enhancement of procedures. Ability to multitask, the prospective candidate will be dealing with multiple requests. It is critical that requests are managed in an orderly and timely manner. Prepare and present relevant management information to stakeholders. Handling the BAU of the process along with providing support in the areas of Global projects, and Process transitions which may include User Acceptance Testing of new tools , calibration of lexicons etc. Assist in internal queries and audit requests. Your skills and experience Strong attention to detail, analytical skills, and sound judgement. Ability to assimilate large amounts of data and have the focus to identify potential issues. Be able to multitask and work on multiple projects. Understand various Business area risks. Compliance and Regulatory awareness. Knowledge of applicable securities rules advantageous. Team player with ability to work independently. Proactive and enthusiastic. Work Experience Minimum Experience of 6 years+ in areas of Compliance / Surveillance Operations. An ability to manage to deadlines and ensuring adherence to regulatory/audit requirements. The ability to explain complex concepts in simple and easy to understand way. Education Degree level Language Skills English - fluency in spoken and written. Technical Skills Experience with using Surveillance tools. Proficiency in Data analytics and MS Office (esp. Advanced Excel + PowerPoint). Experience on preparing MI, managing large volume of data, and presenting the same to senior management. How we ll support you Training and development to help you excel in your career Coaching and support from experts in your team A culture of continuous learning to aid progression A range of flexible benefits that you can tailor to suit your needs About us and our teams Please visit our company website for further information https//www. db. com/company/company. htm We strive for a culture in which we are empowered to excel together every day. This includes acting responsibly, thinking commercially, taking initiative and working collaboratively.