7 Compliance Manager Jobs

Timely preparation & filing of all RBI returns & other compliances, correspondences Analysis of RBI notifications & circulars with a view to assess their impact on the industry To recommend the measures to ensure RBI compliance Annual RBI inspection Required Candidate profile CS Qualified with 5+ years of experience in NBFC / Banking Industry Should have handled compliance with RBI regulations, Annual RBI inspection

Qualification : CS / LLB Job Profile : JD Manager Compliance: CS/LLB 7-10+ years of experience in stock broking operations only. Excellent organizational skills, including time management, record keeping, self- scheduling, and follow-up. Expertise to draft clear and professional correspondence and other documents of a legal, compliance and business nature. Flexible and ability to prioritize tasks and manage multiple tasks within compressed timelines. Job Description: Responsible for regulatory compliance in a stock broking business and regulatory audit- assisting in Concurrent and Internal Audits and Inspection by SEBI/CDSL/BSE etc. Manage all operational processes as per regulatory framework to ensure exchange compliance. Facilitate preparation & timely submission of various forms, reports, and other documents to Exchanges/Depositories. Ensuring timely operational reporting related to Exchanges and SEBI like daily margin reporting of clients, enhanced risk-based supervision, daily monitoring of client collaterals, daily margin statements, other periodic submissions, etc. Assisting in ensuring exchange / DP-related compliances applicable to the Company under SEBI Act, SCRA, Rules, Regulations & Bye-laws of Exchange and Circulars issued by SEBI/CDSL/BSE from time to time. Assisting in handling Investor Grievances as per regulatory guidelines. Reviewing & updating company forms and internal documents in line with applicable stock broking / DP guidelines. Liaising with Exchanges, Depositories for routine matters Ensure process-oriented, TAT-driven process as per defined SOP. Mentor and monitor team to ensure high level of accuracy and timely execution. Handling regulatory audits of SEBI, Exchanges, etc. Any other compliance matters as assigned from time to time. Offer CTC: - 8Lac to 10Lac

We are now looking for an experienced and qualified candidate with the main mission to work as Regional Compliance Officer. Mission: The Regional Compliance Officer is responsible for the compliance management for all entities within India which includes to ensure that compliance risks are regularly identified, assessed, monitored, reported and in general supporting and monitoring compliance in relation to applicable laws, regulations, industry standards and internal requirements within the focus areas defined in the Compliance Policy (Epiroc Way Chapter 06.01 "Core Compliance areas"). The Regional Compliance Officer shall support the General Managers/Managing Director/President India and be a complement to the business. The operations are in charge and responsible for the execution of the work, the implementation and follow up of each gap that the Regional Compliance Officer has identified. Core Compliance areas for Epiroc include: Anti-Bribery and Corruption incl. guidance on gift and hospitalities Anti-Money laundering Anti-Trust and competition Conflict of Interest Data Privacy Third party due diligence Trade Sanctions and Export compliance Your main responsibilities in this role will be: Understand and document requirements of applicable laws and regulations (Compliance Map), Monitor relevant and applicable regulatory developments (Horizon Scanning), Inform and train relevant business units in understanding the regulatory requirements and potential impact, Ensure that compliance risks are regularly identified, assessed, monitored, managed, and reported, Immediate reporting to local board/GM/MD/President and Group Compliance of any material compliance incidents and breaches, Submit quarterly Compliance Reports on material compliance risks, recommendations and follow up, Perform independent monitoring and control to ensure compliance with applicable laws, regulations, and group requirements in each area, Ensure that regular information and training is provided regarding all Core Compliance areas and new regulatory requirements, Promote compliance awareness by working proactively and being involved in significant changes affecting the business operations (e.g. new products, re-organizations, M&A: s), Coordinate communication with relevant authorities/regulators, Support, coordinate and monitor local implementation of requirements in Epiroc Way and ensure that the local Epiroc management system for internal requirements is kept up to date, Serve as the connection between Group Compliance and the local business Act as a link between external advisors and counsels, when so required, Conduct compliance investigations (including whistleblowing investigations), Participate in projects as a Compliance advisor, Conduct annual risk assessments and set-up country/regional annual Compliance programs, Conduct in-depth risk assessments, Be responsible for, and continuously develop, the country/regional Compliance program incl. any local processes, systems, and policy enhancements. Follow Epiroc Code of Conduct, policies and values Knowledge & Experience & Education: Bachelor or University degree (preferably in law) or the equivalent knowledge acquired through several years of qualified experience, Proven track record within Legal or Compliance departments, Solid understanding of the business, Capabilities to interact with employees and management, Leadership skills, Speak and write fluently in English. Knowledge and/or experience with Compliance management systems Experience with MS Office applications Personality requirement Enthusiastic and able to work well under pressure. Excellent interpersonal, communication, analytical and organization skills. Self-starter and goal oriented Attention to details and strong sense of commitment. Process driven and willing to work in global work environment.

Key Responsibilities Should be innovative and should be able to give new ideas Should have good negotiation skills with vendors Conduct facility and EHS related trainings to the teams / vendors Ability to lead the team Should be able to quickly mobilize resources to meet the ever changing demands Should be able to coordinate with the building authorities for building related matters Reporting to the client on daily and weekly basis Work closely with finance to ensure vendors are paid on time Conducting compliance audits and ISO audits on behalf of clients Able to lead, guide and motivate for Entry level & Middle level staff Maintaining relationship with quality vendors that they are reliable and cost effective Make Daily Reports of Attendance, Consumable Report, and Incident Report & Clients Meeting Tracker Handling employeequeries and resolving them in a professional manner Ensure all operational and safety procedures are properly followed Inspect and approve staff work performance Demonstrate leadership and training to staff Communicate effectively to staff Qualification: Should be having an experience of 4-10years with Facility Management background Should possess an eye for detail The person needs to have excellent communication skills, experience in working with a very young and demanding set of employees, having the ability to navigate in unknown circumstances and situations, and needs to connect well with the employees A very smart, energetic person who is capable of taking initiative and decisions when needed

Mandatory: Need candidates who has experience in RBI or NHB compliance. 4+ years of experience in Compliance with BFSI/NBFC. Strong Knowledge of RBI Regulations Qualification: Qualified CS only.

Summary An exciting opportunity for an experienced SOX Compliance Manager to drive and manage the end-to-end Sarbanes-Oxley (SOX 404) compliance program for a leading organization. This role demands strong expertise in internal controls, financial compliance, and risk assessment, with a focus on continuous improvement and collaboration across departments in a remote-first environment. Location – Remote (Work from Home – Pan India) Your Future Employer – A globally recognized, people-first organization focused on compliance, operational excellence, and financial transparency. The company fosters a culture of trust, flexibility, and continuous learning. Responsibilities – Lead the annual SOX 404 compliance cycle including scoping, risk assessment, and control mapping aligned with COSO framework. Collaborate with business and finance stakeholders to document, update, and test internal controls, flowcharts, and narratives. Evaluate design and operational effectiveness of internal controls and track remediation efforts for control gaps. Coordinate with internal and external auditors, providing necessary documentation and addressing audit queries. Provide periodic reporting of compliance status, deficiencies, and remediation progress to senior leadership. Requirements – CA/CPA with 6–12 years of experience in SOX Compliance, Internal Audit, or Public Accounting (Big 4 preferred). Solid understanding of US GAAP and COSO internal control framework. Advanced proficiency in MS Excel, Word; experience with Oracle, Blackline, Wdesk is desirable. Excellent communication, analytical, and documentation skills. Proven ability to work independently and manage multiple priorities in a remote setup. What is in it for you – 100% Remote opportunity with flexible work environment Collaborate with global stakeholders and leadership Opportunity to lead high-visibility SOX and compliance initiatives Career advancement in a growth-oriented compliance function Exposure to enterprise-grade tools and frameworks Reach us – If you feel this opportunity is well aligned with your career progression plans, please feel free to reach out to me with your updated profile at radhika.agrawal@crescendogroup.in Disclaimer – Crescendo Global is specializes in Senior to C-level niche recruitment. We are passionate about empowering job seekers and employers with an engaging memorable job search and leadership hiring experience. Crescendo Global does not discriminate on the basis of race, religion, color, origin, gender, sexual orientation, age, marital status, veteran status, or disability status. Note – We receive a lot of applications on a daily basis, so it becomes a bit difficult for us to get back to each candidate. Please assume that your profile has not been shortlisted in case you don't hear back from us in 1 week. Your patience is highly appreciated. Scammers can misuse Crescendo Global’s name for fake job offers. We never ask for money, purchases, or system upgrades. Verify all opportunities at www.crescendo-global.com and report fraud immediately. Stay alert! Profile Keywords – Crescendo Global, Remote Jobs India, Jobs for SOX Compliance Manager, Accounting & Compliance Jobs, Internal Audit Jobs, CA jobs, CPA roles, Big 4 experience jobs, SOX 404 testing jobs, COSO framework, Financial Reporting, Oracle Blackline Wdesk, Control Testing, Risk Assessment, Remote Audit Jobs, Work from Home Compliance Jobs

SOX Compliance Manager Remote Opportunity – 6+ years Summary – An exciting opportunity for an experienced SOX Compliance Manager to drive and manage the end-to-end Sarbanes-Oxley (SOX 404) compliance program for a leading organization. This role demands strong expertise in internal controls, financial compliance, and risk assessment, with a focus on continuous improvement and collaboration across departments in a remote-first environment. Location – Remote (Work from Home – Pan India) Your Future Employer – A globally recognized, people-first organization focused on compliance, operational excellence, and financial transparency. The company fosters a culture of trust, flexibility, and continuous learning. Responsibilities – Lead the annual SOX 404 compliance cycle including scoping, risk assessment, and control mapping aligned with COSO framework. Collaborate with business and finance stakeholders to document, update, and test internal controls, flowcharts, and narratives. Evaluate design and operational effectiveness of internal controls and track remediation efforts for control gaps. Coordinate with internal and external auditors, providing necessary documentation and addressing audit queries. Provide periodic reporting of compliance status, deficiencies, and remediation progress to senior leadership. Requirements – CA/CPA with 6–12 years of experience in SOX Compliance, Internal Audit, or Public Accounting (Big 4 preferred). Solid understanding of US GAAP and COSO internal control framework. Advanced proficiency in MS Excel, Word; experience with Oracle, Blackline, Wdesk is desirable. Excellent communication, analytical, and documentation skills. Proven ability to work independently and manage multiple priorities in a remote setup. What is in it for you – 100% Remote opportunity with flexible work environment Collaborate with global stakeholders and leadership Opportunity to lead high-visibility SOX and compliance initiatives Career advancement in a growth-oriented compliance function Exposure to enterprise-grade tools and frameworks Reach us – If you feel this opportunity is well aligned with your career progression plans, please feel free to reach out to me with your updated profile at radhika.agrawal@crescendogroup.in Disclaimer – Crescendo Global is specializes in Senior to C-level niche recruitment. We are passionate about empowering job seekers and employers with an engaging memorable job search and leadership hiring experience. Crescendo Global does not discriminate on the basis of race, religion, color, origin, gender, sexual orientation, age, marital status, veteran status, or disability status. Note – We receive a lot of applications on a daily basis, so it becomes a bit difficult for us to get back to each candidate. Please assume that your profile has not been shortlisted in case you don't hear back from us in 1 week. Your patience is highly appreciated. Scammers can misuse Crescendo Global’s name for fake job offers. We never ask for money, purchases, or system upgrades. Verify all opportunities at www.crescendo-global.com and report fraud immediately. Stay alert! Profile Keywords – Crescendo Global, Remote Jobs India, Jobs for SOX Compliance Manager, Accounting & Compliance Jobs, Internal Audit Jobs, CA jobs, CPA roles, Big 4 experience jobs, SOX 404 testing jobs, COSO framework, Financial Reporting, Oracle Blackline Wdesk, Control Testing, Risk Assessment, Remote Audit Jobs, Work from Home Compliance Jobs