18 Compliance Audit Jobs

- Preparation, review & filing of necessary statutory forms & returns with MCA, SEBI, Stock Exchanges & other regulatory bodies - Maintaining statutory registers, records, and minutes of Board, Committee & Shareholders’ meetings Required Candidate profile - 1 year or more with a Practicing CS firm - Handled compliance, advisory assignments & client interactions - Review corporate records, agreements & filings to identify legal and regulatory risks

Team: Compliance Audit Qualification: Lawyer / Lawyer & CS preferred Technical Skills: 1. Good understanding of regulatory environment including Labour, EHS, Finance & Taxation, Secretarial, Industry specific and Other laws 2. Had independently conducted Compliance Applicability assessments and Audits for various industries covering manufacturing plants, mines, warehouses and offices. 3. Hands on Experience on legal compliance audits for large and mid-size corporates 4. Updated with the latest regulatory changes in Indian regulatory environment Responsibilities: Independently ensure planning and execution of audits Physical verification of the compliance documents and site visits Drafting and finalising audit reports, discussion, and closure of reports with auditee & CXO level users. Presentation of reports to senior management Resolution of legal queries of the stakeholders Responsible for Audit Quality and Deliveries About TeamLease Regtech www.teamleaseregtech.com TeamLease Regtech, is India's leading Regulatory Technology (RegTech) solutions company enabling Ease of Doing Business for over 1,557 legal entities across 28 States and 8 Union Territories. TeamLease Regtech offers state-of-the-art multi-tenant, SAAS solution on its web and mobile platforms, integrated with the most comprehensive Legal and Compliance database in India; 1,536 Acts and 69,233 Compliances updated on a near real-time basis covering over 3,000 changes every year. TeamLease Regtech also provides organizations with Compliance and Payroll Outsourcing Services. With 175+ strong in-house Legal, Compliance, and Payroll experts, TL Regtech Caters to end-to-end Labour, EHS, and vendor compliance services for over 450 clients across India.

Regulatory Oversight: 1. Ensure compliance with employment laws, regulations, and organizational policies. 2. Monitor changes in labor laws and update policies accordingly. Policy Development: 3. Frame, Develop, implement, and maintain HR policies and procedures that reflect best practices and legal standards. 4. Regularly review and update compliance-related documents. Training and Awareness: 5. Conduct compliance training programs for employees. Compliance Audits: 6. Plan and execute internal audits to assess adherence to compliance policies. 7. Identify areas for improvement and implement corrective actions. Investigations: 8. Lead investigations into compliance-related complaints or violations. 9. Document findings and recommend disciplinary actions as needed. Record Keeping: 10. Maintain accurate and secure employee records in compliance with legal requirements. 11. Ensure proper documentation of all HR processes and decisions. Reporting: 12. Prepare and present compliance reports to senior management. Advisory Role: 13. Provide guidance to management on HR-related legal matters and compliance issues. 14. Act as a resource for employees regarding compliance concerns. Risk Management: 15. Identify potential compliance risks Location: Malad

Compliance at Corporate office (Central Functions) Monitor & Review of Compliances mapped for different functions at corporate office in the compliance tool. Undertake review /revisit of existing tasks mapped in tool. Periodic meetings with different functions to address their queries/ issues with respect to compliance mapped in tool and apprise them of any changes in regulations. Discussions on new regulations/projects with functions/business to help understand applicability of regulations/compliances. Oversee compliance tool review Oversee the periodic compliance tool review. Lead discussion with stakeholders on gaps identified. Prepare final report with comments and timelines from stakeholders. Follow up on open points of earlier reviews. Compliance Review Assist in planning of onsite review both in house or with the support of external experts Coordination between vendor unit as well as stakeholder for on-site visits On-site visits with vendors for compliance review project. Assist in discussion of gaps identified between vendors & Stakeholders. Ensure issue of final report with timeline and ramification Preparation of presentations on compliance review for senior management. Advisory role Assist in preparing notes on applicability on introduction of new law or amendments or courts order to ensure compliance. Assist on addressing queries from senior management. Consulting vendors as well as do research to understand applicability as well as industries best practices. Others Support team members in handling compliance engagements/projects Key Challenges a. Reporting the Repercussions of Non- compliances can be challenging without access to all relevant facts. b. All conditional compliance will need to rely on the concerned department. c. The non-renewal of compliance or legal research can present challenges.

Responsibilities End to end responsibility for companys HR compliance in all locations within India as per regulations Periodical review of applicability of various Labour and Employment Laws/rules and frame policy/ guidelines to comply Manage timely remittance of ESI, PF, LWF or any other statutory dues. Partner closely with consultants and internal and external stakeholders in timely management of these compliances Lead the compliance Audit conducted by internal and external Auditors and ensure closure of observations and maintain practices consistently Lead the closure of findings in the event of inspections by various Statutory Authorities Manage and maintain record for Challans, Returns, Registers, Display of Notices, License and Registration on a regular basis Manage all compliances as per guidelines of the Contract Labor Act and maintain as appropriate Proactively engage with relevant internal stakeholders(e.g. Legal, Finance, Total Rewards and Benefits etc) and drive initiatives to closures Submit Annual/Half- Yearly/ Quarterly Returns under various Laws across India Lead all statutory related vendor management efforts and liaise with them to ensure periodic review and compliance Support in handling all Statutory related queries through internal tools. Provide support during internal and external audits related to labour laws and compliance. Advanced level experience in ERP like Workday, PeopleSoft, LMS and time & attendance management tools Managing complex queries/ escalations amicably, empathetic towards situations and yet resolve the issues objectively. Always striving to elevate the employee experience.

Hiring for Compliance Analyst in one of our prestigious banking company . Role : FCC Transaction Monitoring Exp : 2-6 years Notice Period : Immediate - 30 days Job Location : Chennai Work Mode: Hybrid Responsibilities Direct Responsibilities I. Roll out and monitor adherence to Compliance Policies Manage Professional Ethics (PE) related activities and controls Ensure adherence to existing Compliance Policies including Personal Account Dealing (PAD) Policy, Gifts & Invitations Policy, Outside Business Interest Policy, Professional Code of Conduct Policy, Anti Bribery and Corruption Policy Review new policies rolled out and implement the same for ISPL, as applicable / appropriate Manage Financial Security (FS) related activities and controls over clients, vendors, employees and operational aspects II. Review of Transition related documents Review Service Level Agreements (SLA), Activity Review Process (ARP) and Risk Assessment (RA) documents from service provider Compliance perspective Interact with the service recipient Compliance team and seek their views / opinions / conditions and ensure all requirements are implemented and managed adequately Maintain repository of transition related Compliance approvals III. Compliance Trainings Conduct and facilitate compliance trainings (mandatory and targeted) for ISPL staff Regularly communicate policies and major changes / highlights through various channels IV. Ensure deployment of robust control framework Rolling out and performing controls based on service recipient compliance/regulatory requirements for offshored activities (e.g. voice recording, Chinese Wall, etc.) and also local requirements and analyzing results of the same to identify and mitigate the relevant risks Coordinate on compliance related incidents and ensure appropriate action plans are put in place Perform regular compliance check and challenge on RCSAs and control plan gap analysis to ensure applicable risks are identified and suitable mitigating controls are in place/proposed Review queries on outsourcing and technical assessments from compliance perspective V. Reporting Preparation of various MIS, dashboards and other compliance reports Contributing Responsibilities Coordination with various departments / mtiers / functions / countries Communication across all levels to ensure management directions including group guidelines are understood Organization & co-ordination of compliance-related awareness-raising and training action Participating in new compliance projects and initiatives Contributing to preparation of compliance decks in various committees and forums Technical & Behavioral Competencies General knowledge of Capital Markets and sound understanding of Financial Security matters Prior Compliance, Audit, Risk, Inspection or Permanent Control experience will be a considerable plus Interested candidates please drop your resume to saarumathi.r@kiya.ai or 8946064544

Role & responsibilities Handling Statutory Compliances : Coordinate with PF & ESIC consultants for profile creation, challan validation processing, DOE, KYC, Joint Declarations, claims, dispute settlements if any and return filings. Regularly audit PF UAN and ESIC records to identify and mitigate risks. Ensure compliance with statutory registers, forms, reports, and muster rolls. Manage POSH training sessions, act as POSH Convenor, and maintain case trackers Create and Maintain compliance calendar. Fixing of Annual holiday calendar with reference to S&E guidelines, GOs and NFH rules. Handling Labour Compliance : Ensure placement of updated and relevant forms, notices, notifications& abstracts across Pan-India office premises under Abstract to Display and other statutory requirements. Coordinate Labour Officer visits, inspections, notices and disputes with necessary investigations, findings, action plan and execution for amicable closure with respective labour boards. Risks Register and Compliance Certificate : Perform monthly internal audits on statutory& labour compliance matters. Develop and execute action plans to mitigate risks. HR Audits : Support HR audits related to compliance activities. Work with various stakeholders to conduct necessary investigations and derive inferences. Preferred candidate profile Employees Provident Fund and Miscellaneous Provisions Act Employees State Insurance Corporation Act The Labour Welfare Fund Act Trades on Professions and Callings (State wise) Trade License The Shops and Establishment Act (State wise) The Maternity Benefit Act The Employees compensation Act Payment of Bonus Act Subsistence Allowance CLRA The Industrial Establishment (Conferment of permanent status to workmen) Act The Industrial Establishment (National and Festival Holidays) Act The Equal Remuneration Act The Payment of Gratuity The Payment of Bonu The Minimum Wages The Payment of Wages Sexual Harassment of Women at Workplace Benefits : 5 Days Working Medical Insurance Gratuity

We are looking for a Graduate with 3 years of experience in Internal Audit to join our team. The role involves evaluating internal controls, identifying process gaps, ensuring compliance with financial regulations, and recommending improvements to enhance operational efficiency. Training will be provied, company details : It's a CA firm / Advisory firm 1. Internal Audit Execution: Conduct risk-based internal audits across different business functions. Perform walkthroughs, process reviews, and control testing. Identify control weaknesses, process inefficiencies, and non-compliance issues. Assist in preparing audit programs, checklists, and workpapers. 2. Financial & Operational Risk Assessment: Assess financial statements, reconciliations, and accounting policies for compliance. Identify fraud risks, revenue leakages, and cost-saving opportunities. Ensure adherence to corporate policies, SOPs, and best practices. 3. Regulatory & Compliance Audits: Ensure compliance with Income Tax, GST, Companies Act, and other statutory regulations. Assist in statutory audit preparation and resolving audit observations. Review adherence to internal financial controls (IFC) and risk management frameworks. 4. Process Improvement & Reporting: Provide recommendations to strengthen internal controls and mitigate risks. Work with departments to streamline processes and improve operational efficiency. Prepare detailed audit reports with findings and actionable insights. 5. Coordination & Stakeholder Management: Work closely with senior auditors, finance teams, and management. Coordinate with external auditors and regulatory authorities as required. Support the implementation of audit recommendations and follow-ups. Skills & Competencies Required: Knowledge of Internal Audit, Risk Management, and Internal Financial Controls (IFC). Understanding of Accounting Standards, Ind AS, and Tax Laws. Strong analytical and problem-solving skills. Proficiency in MS Excel, Tally, SAP, and audit tools. Excellent report writing and communication skills. Ability to handle multiple audits and meet deadlines. Preferred Industry Exposure: CA Firms / Consulting Firms (Internal Audit)

1. Preparing Documents for Customers audit . 2. Addressing the audit queries. 3. Salary Grievance. 4. PF & ESIC Grievance. 5. Attending the Darbar Meeting. 6. Communicating to the concern authority with regards to Accident & Death cases. 7.Preparing employees Full & Final Settlement . Preferred candidate profile Perks and benefits

To perform RBIA (Micro Banking) of the Banking Branches in order to identify areas of risk, monitor adherence to laws, regulations, policies, procedures and set standards and reinforce internal control measures. Responsible for conducting RBIA (Micro Banking) in the Branches assigned to them in eTHIC application. Conducting audit in the assigned branches in the allotted days. Obtaining spot rectification on daily basis in tune to the audit observation report in the application. Conduct entry level and exit level meetings in branch. Verify accounts relevant to Micro Banking accounts and Jan Dhan accounts during the Audit as per checklist Responsible to verify the documents, records and registers etc. in the Branches as per checklist. Responsible for sangam visits in selected sangams in the Branches as per checklist. Conduct compliance audit as and when assigned. Location- Kolkata, Kerala, Tamil Nadu, Karnataka, Madhya Pradesh, Maharashtra, Rajasthan, Assam, Jharkhand, Gujarat, Odisha, Bihar, New Delhi

The selected candidate will be responsible for providing expert advisory and consulting services in the following areas: Cost Audit & Compliance (Legal Mandate) Conduct Cost Audits for companies as per the Companies Act, 2013. Prepare and file Cost Audit Reports with the Ministry of Corporate Affairs (MCA). Ensure compliance with cost record-keeping regulations for clients across industries (manufacturing, pharma, steel, etc.). Provide industry-specific cost compliance advisory to optimize operational efficiency. Corporate & Management Consulting Develop and implement cost reduction strategies for procurement and supply chain operations. Advise on pricing strategy development for products and services to maximize profitability. Conduct performance audits and financial efficiency analysis to identify areas for improvement. Support merger & acquisition (M&A) financial due diligence and valuation processes.

We are looking for a Semi-Qualified Chartered Accountant (CA Inter) with experience in Internal Audit to join our team. The role involves evaluating internal controls, identifying process gaps, ensuring compliance with financial regulations, and recommending improvements to enhance operational efficiency. Training will be provied, company details : It's a CA firm / Advisory firm 1. Internal Audit Execution: Conduct risk-based internal audits across different business functions. Perform walkthroughs, process reviews, and control testing. Identify control weaknesses, process inefficiencies, and non-compliance issues. Assist in preparing audit programs, checklists, and workpapers. 2. Financial & Operational Risk Assessment: Assess financial statements, reconciliations, and accounting policies for compliance. Identify fraud risks, revenue leakages, and cost-saving opportunities. Ensure adherence to corporate policies, SOPs, and best practices. 3. Regulatory & Compliance Audits: Ensure compliance with Income Tax, GST, Companies Act, and other statutory regulations. Assist in statutory audit preparation and resolving audit observations. Review adherence to internal financial controls (IFC) and risk management frameworks. 4. Process Improvement & Reporting: Provide recommendations to strengthen internal controls and mitigate risks. Work with departments to streamline processes and improve operational efficiency. Prepare detailed audit reports with findings and actionable insights. 5. Coordination & Stakeholder Management: Work closely with senior auditors, finance teams, and management. Coordinate with external auditors and regulatory authorities as required. Support the implementation of audit recommendations and follow-ups. Skills & Competencies Required: ? Knowledge of Internal Audit, Risk Management, and Internal Financial Controls (IFC). ? Understanding of Accounting Standards, Ind AS, and Tax Laws. ? Strong analytical and problem-solving skills. ? Proficiency in MS Excel, Tally, SAP, and audit tools. ? Excellent report writing and communication skills. ? Ability to handle multiple audits and meet deadlines. Preferred Industry Exposure: CA Firms / Consulting Firms (Internal Audit)

Auditing, risk identification, process reviews, report preparation, team training, frequent travel. Execute the internal audit. Experience for Manager- 3 to 8 years Experience for Sr.Manager-8 to 12 years

Job Title: Acon/Scon/Consultant - Forensics & Integrity Services Location: Mumbai Qualifications: CA with 2-7 years of experience, or MBA in Finance or Commerce Graduate Knowledge of Corporate or SME Lending Frauds or Forensic Audit Strong understanding of accounting principles, financial statements, audit reports, and the nature of financial transactions Proficiency in Excel and PowerPoint Excellent analytical, problem-solving, and critical thinking skills Good interpersonal and communication skills Prior experience in conducting statutory/concurrent/internal audits for Banks is an added advantage Skill Set Requirements (in order of preference): Forensic experience in the Pharma sector Forensic experience in any industry Internal Audit/Risk Advisory experience in the Pharma sector Internal Audit/Risk Advisory experience in the Manufacturing sector Responsibilities: Conduct forensic audits and investigations Analyze financial statements and transactions to identify discrepancies Prepare detailed reports and presentations based on findings Collaborate with team members to develop strategies for fraud prevention and detection Provide insights and recommendations to clients based on audit results Additional Information: Early joining preferred Interested candidates can share their CV at arun.k.jadhav@in.ey.com

Regulatory Oversight: 1. Ensure compliance with employment laws, regulations, and organizational policies. 2. Monitor changes in labor laws and update policies accordingly. Policy Development: 3. Frame, Develop, implement, and maintain HR policies and procedures that reflect best practices and legal standards. 4. Regularly review and update compliance-related documents. Training and Awareness: 5. Conduct compliance training programs for employees. Compliance Audits: 6. Plan and execute internal audits to assess adherence to compliance policies. 7. Identify areas for improvement and implement corrective actions. Investigations: 8. Lead investigations into compliance-related complaints or violations. 9. Document findings and recommend disciplinary actions as needed. Record Keeping: 10. Maintain accurate and secure employee records in compliance with legal requirements. 11. Ensure proper documentation of all HR processes and decisions. Reporting: 12. Prepare and present compliance reports to senior management. Advisory Role: 13. Provide guidance to management on HR-related legal matters and compliance issues. 14. Act as a resource for employees regarding compliance concerns. Risk Management: 15. Identify potential compliance risks Location: Malad

The objective of this role is to lead and oversee the Environmental, Health, and Safety (EHS) functional area within the textile industry. This role holder will be responsible for developing and implementing comprehensive strategies, policies, and operational plans to ensure a safe and environmentally compliant working environment, aligning with industry regulations and organizational objectives Role & responsibilities Strategy: Providing direction to achieve the desired long-term and short-term objectives Develop and execute the EHS strategy, aligning it with organizational goals and industry best practices. Provide insights to senior management for the integration of EHS strategies with overall business objectives. Identify and assess EHS risks and opportunities, contributing to the development of overarching business strategies. Stay abreast of industry trends and regulatory changes to ensure the continual improvement of EHS strategies. Operations: Executing the strategies to achieve the business goals Oversee day-to-day EHS operations, ensuring compliance with safety, environmental, and health standards. Implement and optimize EHS policies, procedures, and training programs to enhance awareness and adherence. Collaborate with relevant stakeholders to conduct regular EHS audits, inspections, and risk assessments. Monitor and analyze key performance indicators (KPIs) related to EHS, driving continuous improvement initiatives. Ensure effective emergency response and crisis management procedures are in place and regularly tested.

Roles & Responsibilities: A minimum of 5 to 8+ years experience in Vendors' / Clients' statutory compliances (Labour Laws). Should be conversant with the main provisions of various Labour Laws in respect of statutory Contributions - Minimum Wages, PF, ESIC, MLWF, Bonus, Gratuity, PT Etc. An in-depth understanding of the industry's rules, guidelines, and regulations. Strong attention to detail and analytical, and statistical skills. Good computer skills and experience with relevant software programs. Strong communication and multitasking skills. Ensures compliance with regulations and controls by examining and analysing records, reports, operating practices, and documentation. Analysing existing compliance records and making all necessary updates. Compiling reports on the results of external and internal audits and presenting these reports to the relevant clients and department heads. Tracking reported company violations and the responses and plans regarding these allegations. Role: Employee Relations Management Industry Type: Management Consulting (Labour Law Compliance) Department: Legal & Regulatory And Due Diligence Employment Type: Full Time, Permanent Role Category: Legal & Regulatory

Working within Global Accounting Platform. Level of service between support full delivery based on service catalogue 1 Manage transactional part of General ledger activities 2 Support the Local accounting statutory team 3 Support delivering consolidation pack to LFD4 Support to compliance audit Job Description - Grade Specific Operating in at Junior Mid Junior level in a Finance support/professional role Operating as a Finance specialist supporting small and medium sized finance exercises Will be building skills for a more specialized Finance service.May start to manage others.Manage working relationships with stakeholders for the business areas supported Able to act on own initiative but will require supervision