36 Compliance Officer Jobs

Role Overview: As a Company Secretary / Compliance Officer at Transways Realty, located in Kolkata, you will play a crucial role in ensuring the company's compliance with regulatory requirements and internal policies. Your responsibilities will include overseeing the compliance program, monitoring and analyzing compliance risks, developing policies and procedures, conducting audits and investigations, preparing reports, providing guidance and training to staff, and liaising with regulatory bodies. Key Responsibilities: - Oversee the company's compliance program to ensure activities align with regulatory requirements and internal policies - Develop and implement compliance policies and proced...

As a Company Secretary (CS) executive, you are responsible for performing and managing various regulatory functions. Your role as a Business Advisory to the board of directors of the company involves guiding them in incorporating laws, corporate governance, strategic management, project planning, and capital markets & securities laws. In essence, you work as an in-house legal expert and compliance officer within the company. **Key Responsibilities:** - Advising on good governance practices and ensuring compliance with Corporate, Governance norms prescribed under various Corporate, Securities, and Other Business Laws and regulations and guidelines. - Assisting in developing a corporate and so...

As a Company Secretary and Compliance Officer at Prithvi Exchange, your role will be crucial in ensuring compliance with SEBI and corporate laws. Your responsibilities will include managing regulatory filings, maintaining statutory books, and facilitating board meetings. Additionally, you will be tasked with monitoring changes in relevant legislation, providing guidance on corporate governance, and handling communication with stakeholders and regulatory authorities. Key Responsibilities: - Prepare agendas and papers for board meetings, committees, and annual general meetings (AGMs) and follow up on action points. - Ensure compliance with Companies Act, 2013, SEBI (LODR), PIT regulations, SAS...

The IT Compliance Officer reports to the Head of IT Audit Coordination APAC based in Singapore. This role sits in the sub tower which is the central point for managing all IT audits and regulatory questionnaires, both internal and external. The goal of the sub tower is to ensure a smooth and effective evaluation process by acting as the primary coordination point for all stakeholders.. Key Responsibilities Coordinate end-to-end IT regulatory inspections (e.g. OIC, NFRA, IRDAI, APRA, MAS etc ), annual external IT audits, and internal IT audits, including stakeholder engagement, coordination of questionnaires and surveys, fieldwork, audit reporting, and post-audit gap closure monitoring. Manag...

Our vision is to transform how the world uses information to enrich life for all . Micron Technology is a world leader in innovating memory and storage solutions that accelerate the transformation of information into intelligence, inspiring the world to learn, communicate and advance faster than ever. Responsibilities Develop and implement an effective compliance program Create sound internal controls around required compliances and monitor adherence to them Draft and revise company policies that integrate and incorporate the specific requirements related to compliances Proactively audit processes, practices, and documents to identify weaknesses Evaluate business activities specifically in t...

Role Compliance Officer Location GIFT City, Gujarat Experience 3 to 10 yrs Education: CS/CA/CMA/ Bachelor of Laws (LLB) Key Responsibilities: Ensure adherence to relevant laws, regulations, and industry standards applicable The focus is to act as an oversight to the compliance and operations and to ensure that the activities align and implemented on time as per the regulatory requirements. Ensures the entitys readiness for internal audits, statutory audits, and inspections by IFSCA or other regulators. Identify, assess, and mitigate risks associated with asset management activities. New Fund Set up, New Fund Registrations with statutory Bodies as required under IFSCA/ SEZ regulations Review ...

Join our Team About The Role Join Ericssons Group Function Third Party Assessments within Compliance Programs & Operations Youll design, implement, and advise on the programmatic elements of our Third-Party Management Program and serve as a senior subject-matter expert across Antitrust, Anti-Corruption, and Anti-Money Laundering, Location: the candidates can apply globally, What Youll Do Support and enhance Ericssons TPM program, Lead end-to-end due diligence on third parties: review assessments, identify red flags, propose mitigations, draft reports, and perform ongoing monitoring, Run third-party compliance risk assessments and transaction testing, Support Business Partner Review Boards (G...

Join our Team About The Role Join Ericssons Group Function Third Party Assessments within Compliance Programs & Operations Youll design, implement, and advise on the programmatic elements of our Third-Party Management Program and serve as a senior subject-matter expert across Antitrust, Anti-Corruption, and Anti-Money Laundering, Location: the candidates can apply globally, What Youll Do Support and enhance Ericssons TPM program, Lead end-to-end due diligence on third parties: review assessments, identify red flags, propose mitigations, draft reports, and perform ongoing monitoring, Run third-party compliance risk assessments and transaction testing, Support Business Partner Review Boards (G...

Join our Team About The Role Join Ericssons Group Function Third Party Assessments within Compliance Programs & Operations Youll design, implement, and advise on the programmatic elements of our Third-Party Management Program and serve as a senior subject-matter expert across Antitrust, Anti-Corruption, and Anti-Money Laundering, Location: the candidates can apply globally, What Youll Do Support and enhance Ericssons TPM program, Lead end-to-end due diligence on third parties: review assessments, identify red flags, propose mitigations, draft reports, and perform ongoing monitoring, Run third-party compliance risk assessments and transaction testing, Support Business Partner Review Boards (G...

Join our Team About The Role Join Ericssons Group Function Third Party Assessments within Compliance Programs & Operations Youll design, implement, and advise on the programmatic elements of our Third-Party Management Program and serve as a senior subject-matter expert across Antitrust, Anti-Corruption, and Anti-Money Laundering, Location: the candidates can apply globally, What Youll Do Support and enhance Ericssons TPM program, Lead end-to-end due diligence on third parties: review assessments, identify red flags, propose mitigations, draft reports, and perform ongoing monitoring, Run third-party compliance risk assessments and transaction testing, Support Business Partner Review Boards (G...

Join our Team About The Role Join Ericssons Group Function Third Party Assessments within Compliance Programs & Operations Youll design, implement, and advise on the programmatic elements of our Third-Party Management Program and serve as a senior subject-matter expert across Antitrust, Anti-Corruption, and Anti-Money Laundering, Location: the candidates can apply globally, What Youll Do Support and enhance Ericssons TPM program, Lead end-to-end due diligence on third parties: review assessments, identify red flags, propose mitigations, draft reports, and perform ongoing monitoring, Run third-party compliance risk assessments and transaction testing, Support Business Partner Review Boards (G...

Join our Team About The Role Join Ericssons Group Function Third Party Assessments within Compliance Programs & Operations Youll design, implement, and advise on the programmatic elements of our Third-Party Management Program and serve as a senior subject-matter expert across Antitrust, Anti-Corruption, and Anti-Money Laundering, Location: the candidates can apply globally, What Youll Do Support and enhance Ericssons TPM program, Lead end-to-end due diligence on third parties: review assessments, identify red flags, propose mitigations, draft reports, and perform ongoing monitoring, Run third-party compliance risk assessments and transaction testing, Support Business Partner Review Boards (G...

Join our Team About The Role Join Ericssons Group Function Third Party Assessments within Compliance Programs & Operations Youll design, implement, and advise on the programmatic elements of our Third-Party Management Program and serve as a senior subject-matter expert across Antitrust, Anti-Corruption, and Anti-Money Laundering, Location: the candidates can apply globally, What Youll Do Support and enhance Ericssons TPM program, Lead end-to-end due diligence on third parties: review assessments, identify red flags, propose mitigations, draft reports, and perform ongoing monitoring, Run third-party compliance risk assessments and transaction testing, Support Business Partner Review Boards (G...

Job Title: Compliance Surveillance (MACM) Location: Kurla Department: Compliance Surveillance About the Role We are seeking a highly motivated Compliance Surveillance professional to join our team. The role involves end-to-end monitoring of trading activities, identifying suspicious transactions, ensuring regulatory compliance, and supporting risk control frameworks. This is an excellent opportunity for candidates with 1–2 years of compliance/surveillance experience in broking or capital markets who are looking to grow their career with a reputed financial services organization. Key Responsibilities: Monitor client trading activities across order book, trade data, and other market data sourc...

As a Company Secretary (CS) in our company, you will play a crucial role in ensuring regulatory compliance, managing secretarial duties, and supporting governance processes. Your expertise in corporate laws, SEBI/ROC regulations, and handling board and shareholder matters with professionalism will be highly valued. Key Responsibilities: - Organize and manage Board meetings, AGMs, and committee meetings (Audit, CSR, etc.). - Draft notices, agendas, minutes, and resolutions in accordance with the Companies Act, 2013. - Maintain and update statutory registers and records to ensure accuracy and compliance. - Ensure timely filing of ROC forms such as MGT-7, AOC-4, DIR-12, PAS-3. - Act as a compli...

You will be responsible for serving as a Company Secretary/Compliance Officer for our client in Tiruppur, a Public Limited Company that is preparing to launch an IPO. As an ACS with at least 2 years of relevant experience, you will play a crucial role in ensuring compliance with legal and regulatory requirements. Initially, you will be stationed in Tiruppur for a period of 6 months, after which you will transition to the Corporate Office located in Coimbatore. This hybrid work model offers a blend of remote and in-office work, providing flexibility and convenience. Joining our team offers the opportunity to contribute to the growth and success of a dynamic organization while gaining valuable...

Ensure compliance with IFSCA regulations & AML/CFT processes Lead client operations & risk management Business growth & expand distribution networks Regulatory Compliances & Reporting with SEZ, IFSCA, Exchanges Preparation of Policies, SOPs, noted Required Candidate profile Post-graduate/professional degree in finance, law, or related fields 5+ years experience in capital markets or financial services Strong regulatory & leadership expertise info.aspiringmantra@gmail.com

At MEXD Worldwide, you are pivotal in the expansion of a global crypto exchange into India, focusing on trust, transparency, and regulatory compliance. Your expertise in navigating Indian banking systems and compliance frameworks is essential for the success of the operation. Your primary responsibilities include coordinating banking and financial activities such as opening and managing various types of bank accounts with Indian banks, liaising with banking partners, and ensuring timely submission of financial and compliance documents. Collaborating with accountants, auditors, PSPs, and tax consultants is crucial for maintaining financial integrity. As the Compliance Officer, you will overse...

As a Compliance Officer in Facility Management, you will play a crucial role in ensuring that all operations and activities within the facility comply with relevant laws, regulations, safety standards, and company policies. Your primary responsibility will be to oversee compliance within the facility management practices to mitigate potential risks and liabilities. Your key responsibilities will include identifying and assessing potential risks by regularly reviewing facility operations to pinpoint safety hazards, non-compliance issues, and areas requiring improvement. You will be tasked with developing and implementing compliance policies that align with industry standards and legal require...

Only candidates based in Raipur or willing to travel every month apply Only qualified CS with more than 5 years of experience apply Job Description Reporting to the leadership, you'll be responsible for the following: Act as Company Secretary (CS) & Key Managerial Personnel (KMP) under the Companies Act, 2013. Serve as Compliance Officer under SEBI regulations. Lead IPO readiness including preparation of Draft Red Herring Prospectus (DRHP), SEBI and MCA compliance, and post-listing obligations. Manage Board & Committee governance - meetings, agendas, resolutions, minutes, filings. Handle multi-regulator compliance - SEBI, RBI, MCA. Oversee preparation & filing of Annual Reports, XBRL filings...

Candidate with 8 to 12 years of experience should apply Only Candidates based out of Navi Mumbai should apply Job Description Leading the Secretarial & Corporate Governance team Company Secretary of the organization, designated KMP as per Companies Act and Compliance Officer for SEBI. Anchor of Corporate Governance for the organization. To ensure a strong Corporate Governance framework is in place Getting organization IPO ready. As and when the decision on taking up IPO takes place, leading that crucial initiative from Secretarial function point of view. Leading the post IPO functions as well as per the regulations. Checking & ensuring secretarial compliance with all applicable laws includin...

Job Title: Executive / Sr. Executive - Sustainability & EHS Compliance Department: Environment, Health & Safety (EHS) Location: Hyderabad Reports To: Head EHS & Sustainability Experience Required: 3–6 Years Employment Type: Full-Time Job Summary: We are seeking a proactive and detail-oriented Sustainability & EHS Compliance Officer to support the organization's sustainability initiatives, ensure regulatory compliance, and drive the implementation of EHS and IMS processes across our sites. The ideal candidate will be responsible for managing data systems, coordinating key reports, facilitating training programs, and executing EHS projects while fostering a culture of continuous improvement an...

B.Sc Chemistry (Environment Compliance Officer) Responsible for environment monitoring, hazardous waste management, and daily accident report preparation. Manages legal compliance including CTO, CFE, and CTE as per Pollution Control Board (PCB) guidelines. Oversees complete operations of the Effluent Treatment Plant (ETP), including lab testing and process optimization. Ensures timely submission of environmental and safety reports. Acts as auditee during inspections, maintaining strict adherence to compliance protocols. Supports financial planning and budgeting for environmental activities, and maintains all relevant documentation and records. Plays a key role in sustainability initiatives a...

Ensure the firm complies with all SEBI, stock exchange, and other regulatory requirements. Prepare and submit periodic reports to regulatory authorities and exchanges. Stay updated on changes in regulations and implement necessary modifications to internal policies and procedures. Monitor trading activities to identify and report unusual or non-compliant transactions. Conduct periodic audits to assess compliance with policies, procedures, and regulatory standards. Oversee KYC (Know Your Customer) and AML (Anti-Money Laundering) processes to ensure accuracy and adherence. Assist in drafting and updating internal compliance policies, procedures, and manuals. Train employees on compliance requi...

Job Title: Executive / Sr. Executive - Sustainability & EHS Compliance Department: Environment, Health & Safety (EHS) Location: Hyderabad Reports To: Head EHS & Sustainability Experience Required: 3–6 Years Employment Type: Full-Time Job Summary: We are seeking a proactive and detail-oriented Sustainability & EHS Compliance Officer to support the organization's sustainability initiatives, ensure regulatory compliance, and drive the implementation of EHS and IMS processes across our sites. The ideal candidate will be responsible for managing data systems, coordinating key reports, facilitating training programs, and executing EHS projects while fostering a culture of continuous improvement an...