10 Compliance Officer Jobs

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 requirements and industry regulations. Coordinate with different departments to enforce compliance standards. Investigate and report compliance breaches or violations to the appropriate authorities. Provide support during regulatory audits and inspections. Maintain records of incidents, actions taken, and their resolutions. Identify compliance risks and recommend mitigation strategies. Ensure robust controls are in place for sensitive areas like client data protection and insider trading. Support senior management in making informed compliance-related decisions. Skills and Qualifications Should have a minimum of 3+ years of experience in stock broking compliance Should be able to handle exchange reportings appropriately ( Daily, Weekly, Monthly) Should be able to handle all audit-related matters independently ( Internal and External) Must have handled Exchanges (NSE, BSE, MCX, MCDX, etc.) and SEBI Audits - Must have handled Depository ( NSDL/CDSL) Audits - Sound knowledge of latest regulations Handled compliance-related inspections/audits of various types of Brokers of the Exchange, including Small & Medium Size stock brokers, proprietary traders, brokers having institutional clients, banks dealing in equity market and big broking houses. Conducting in-depth financial analysis and risk assessment of stock broker to gauge their solvency and to evaluate the potential risk they pose to the system. Drafting of various observations of the queries raised by Exchanges/ SEBI.

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 and compliance. Key Responsibilities: 1. Sustainability Strategy Troubleshoot and maintain the SDM Portal for sustainability-related data collection from all sites covering safety, environment, energy, and sustainability performance. Coordinate with various stakeholders to compile, review, and finalize reports such as BRSR (Business Responsibility and Sustainability Report), Annual Reports, and other sustainability disclosures. Ensure timely and complete data submission to support internal and external reporting requirements. 2. Compliance Management Ensure that all new project initiatives are aligned with statutory requirements and secure necessary approvals from bodies such as MOEF&CC, State Pollution Control Boards, Factory Inspectorate, Fire Services, CGWA, PESO, etc. Monitor and ensure timely acquisition, renewal, and maintenance of all necessary permits and licenses. Keep updated with changes in EHS and environmental laws to ensure continued compliance. 3. IMS Systems Implementation and Maintenance Develop, update, and maintain IMS documents and procedures as per the latest standards (ISO 14001, ISO 45001, etc.). Lead initiatives related to the development of new IMS manuals and ensure organization-wide adherence. 4. EHS Training & Initiatives Plan and organize EHS-related events and campaigns at corporate and site levels, both online and offline. Coordinate external training programs to enhance awareness and competency across all locations. Track training hours and evaluate the effectiveness of training interventions. 5. Project Management Identify, develop, and implement special EHS and sustainability projects based on organizational needs. Execute assessments and projects within agreed timelines and ensure measurable impact. 6. Best Practices Sharing Document and circulate at least two EHS best practices or safety contact learnings every month across all sites. Maintain a repository of shared practices and encourage cross-site learning. Key Skills and Competencies: In-depth knowledge of environmental and industrial safety laws and regulations. Experience with compliance management and regulatory liaison. Familiarity with sustainability reporting frameworks such as BRSR, GRI, SDG mapping, etc. Working knowledge of Integrated Management Systems (ISO 14001, ISO 45001). Proficient in data handling, report generation, and MS Office tools. Strong interpersonal, organizational, and communication skills. Ability to work collaboratively with cross-functional teams across multiple locations. Educational Qualification: Bachelor's or Master’s Degree in Environmental Engineering, Environmental Science, Industrial Safety, or related discipline. Certification in IMS, Sustainability Reporting, or EHS Compliance (preferred).

We are seeking a results-driven and detail-oriented Senior Compliance Officer to ensure that our sales operations comply with internal policies, client guidelines, and international regulatory standards. This role is crucial in minimizing compliance risks associated with telesales, upselling, and lead generation. The ideal candidate should have a minimum of 5 years of experience in BPO Sales Compliance, preferably in Australian Energy sales. It is essential to have a solid understanding of international compliance frameworks and experience in monitoring high-volume outbound/inbound sales campaigns in a BPO environment. Your responsibilities will include monitoring sales calls and processes to ensure compliance with legal and client-specific regulations, identifying and addressing misrepresentation or unethical sales behavior, conducting audits and risk assessments, as well as implementing corrective actions. You will also be responsible for creating and updating SOPs, call scripts, and verification protocols, training sales teams on compliance standards and best practices, and collaborating with legal, HR, and operations to align processes. The successful candidate should have strong knowledge of sales regulations and quality standards, excellent communication, audit, and report-writing skills, and be detail-oriented with a strong sense of integrity. Staying up to date with international sales and data protection laws is also expected. If you are passionate about upholding ethical sales practices and excel in a compliance-focused environment, we would love to hear from you. Apply now or reach out for more details at hr.recruiter4@telemindsinfotech.com / 7603072343. #Hiring #ComplianceOfficer #BPOJobs #SalesCompliance #KolkataJobs #AustralianEnergySales #QualityAssurance #BPOCareers #ComplianceJobs,

We are currently looking to hire a Qualified Company Secretary (Male Candidate Fresher) for the Bangalore Region.Note: This requirement is strictly for qualified CS freshers only. Required Candidate profile To clarify, we are specifically seeking male candidates who are qualified Company Secretaries with no prior work experience, but who possess strong domain knowledge.

Roles and responsibilities: Performing duties as a Compliance Officer and Company Secretary in terms of the Listing Regulations and other applicable SEBI Laws, Companies Act and shall ensure compliance of SEBI Laws and Depositories Act as applicable. To ensure timely compliance of all the quarterly, half yearly, annual and event based compliances applicable to a debt listed Company under SEBI (LODR) Regulations, SEBI (PIT) Regulations and all other applicable SEBI Regulations To co-ordinate, correspond and liaison with BSE, NSDL, CDSL, Debenture trustees, lawyers, consultants and all such parties on behalf of the Company. Advising the board and management committees on all statutory and constitutional requirements to ensure that business is conducted in a proper and effective manner Involved in Public Issue, Listing and Securities Management depending on Company Strategy Prepare and maintain minutes, statutory books including registers of members, directors and secretaries; and filing of return with Registrar of Companies, Regional Director, NCLT, Stock Exchanges and Government in respect of company and its group companies. Preparation and filing of all necessary forms, returns with MCA/RoC as applicable under the Companies Act. Prepare necessary applications for allotment of land from state government authorities etc. and coordinate all related matters Applying due diligence to ensure compliance of all ROC/ statutory issues Advising the company on arbitration, negotiation and conciliation in commercial disputes between various parties Such other responsibilities as may be given by the Management

About Role You will be responsible for ensuring that the NBFC adheres to all regulatory requirements and internal policies. This role involves monitoring compliance risks, managing compliance tool, maintaining trackers, stakeholder management, drafting and modification on policies, implementing regulatory updates, assisting in compliance risk assessments, audits, and supporting in maintaining a robust compliance framework. Roles and Responsibilities: 1. Compliance monitoring and tracking through tools 2. Supporting discussions and execution of compliance actionable with internal stakeholders 3. Coordinating ad-hoc compliance reporting requirements 4. Periodical compliance filing tracking and follow-ups 5. Dissemination of new regulations/policies amongst the stakeholders 6. Performing stress testing as per the plan 7. Policy/SOP drafting/reviewing amongst others Job Description 1. Compliance Tracking through Tool: Managing end to end compliance tool, tracking compliances and vouching the evidence, managing internal stakeholders for closure of open actions in the tool. 2. Regulatory Compliance: Ensure strict adherence to all regulatory requirements, guidelines, and directives issued by the relevant authorities, including the Reserve Bank of India (RBI) and other regulatory bodies. 3. Policy Development: Drafting, revision, and implementation of compliance policies and procedures to ensure they are in line with changing regulations and industry standards. 4. Risk Assessment: Assist in regular risk assessments to identify potential compliance risks and develop mitigation strategies to prevent violations. 5. Training and Awareness: Establish and maintain a compliance training program for employees at all levels, ensuring they are well-informed about compliance requirements and expectations. 6. Internal Audit & Controls: Implement and maintain effective internal control systems to ensure compliance with internal policies and external regulations. Effectively manage the internal auditor with planning and supervision and evaluate corrective measures for satisfaction of audit findings as well as monitor adequacy of corrective procedures 7. Incident Response: Develop and maintain an incident response plan to address compliance violations and ensure timely resolution, reporting, and communication to relevant stakeholders. 8. Monitoring Industry Trends: Stay informed about emerging trends, best practices, and changes in regulatory requirements within the NBFC and banking industry. Requirement from the candidate 1. Bachelor's degree in finance, law, or a related field. Advanced degrees or professional certifications (e.g., Certified Compliance Professional) are a plus. 2. A minimum of 4 years of relevant experience in compliance, risk management, or regulatory affairs, with a strong preference for candidates with a background in NBFC or banking. 3. In-depth knowledge of Indian financial regulations and compliance requirements, including RBI NBFC Scaler Based, Digital Lending, KYC-AML guidelines, etc 4. Excellent communication, negotiation, and interpersonal skills. 5. Analytical and problem-solving abilities with a keen attention to detail. 6. High ethical standards and a commitment to promoting a culture of compliance and integrity 7. Exposure / experience to NBFC inspection/Compliance Risk Assessment

Hello Candidate, Greetings from Hungry Bird IT Consulting Services Pvt. Ltd. We're hiring a Company Secretary for our client who is an established manufacturing company planning for an Initial Public Offering (IPO). Location: Hyderabad Experience: 5 to 8 yrs Gender: Any Role: Company Secretary Industry Type: Manufacturing Interview Mode: Only Face to face Department: Secretarial & Legal Employment Type: Full Time, Permanent Role Category: Finance & Company Secretary Roles and Responsibilities Ensure full compliance with the Companies Act, 2013, SEBI Regulations, and other corporate laws. Manage and coordinate all aspects of the IPO process by assisting leadership and external advisors. Prepare agendas, and detailed minutes for Board, Committee, and Shareholder meetings. Handle all statutory filings with ROC, Stock Exchanges, and SEBI in a timely manner. Assist in establishing and implementing corporate governance policies required for a listed entity. Act as the central point for secretarial and compliance-related matters within the organization. Desired Candidate Profile 5-8 years of post-qualification experience as a Company Secretary. Must have at least 2 years of hands-on experience managing secretarial compliance for an already listed company. Strong knowledge of SEBI (LODR) regulations is essential. Must be a qualified member of the Institute of Company Secretaries of India (ICSI). Prior experience in an IPO is not required; candidate will learn the process with the team. (Interested candidates can share their CV to aradhana@hungrybird.in or call on 9959417171) Please furnish the below-mentioned details that would help us expedite the process. PLEASE MENTION THE RELEVANT POSITION IN THE SUBJECT LINE OF THE EMAIL. Example: RAVI, COMPANY SECRETARY, 6 YEARS, 30 DAYS NOTICE Name: Position applying for: Total experience: Notice period: Current Salary: Expected Salary: Thanks and Regards Aradhana +91 9959417171

Manage end-to-end Board meeting processes including agenda preparation, minutes documentation, and compliance with Companies Act 2013, SEBI LODR, SEBI D&P Regulations, and Secretarial Standards Required Candidate profile Handle comprehensive AGM compliances including Stock Exchange intimations, shareholder communications, and coordination with RTA and e-voting agencies Strong knowledge of corporate governance Perks and benefits Free Meals, Transport, Gym, Game Room, Free Snacks

Candidate must have good experience in Manual Challan , PF, ESI and excel, who do not have experience in Manual Challan and internal Audit Interested candidate call on 9650577774 Required Candidate profile CANDIADTE MUST HAVE EXPERIENC EIN INTERNAL AUDITING

Job Summary: We are hiring a qualified Company Secretary with 5 to 6 years of experience, in the Non-Banking Financial Company (NBFC) to join our Secretarial & Compliance Team. The ideal candidate will be inter-alia responsible for assisting/handling: - MCA Filing. - RBI filing/compliances, - analysis of RBI updates and sharing summary & impact on the Company, - Pre & Post Board/Committee Meetings compliances, including coordination with internal departments for agenda items, - regularly monitoring the Compliance Tool report - Policy review/drafting - fund raising activities - Coordination with Depositories / Stock Exchange This role requires strong organizational skills, attention to detail, and the ability to manage multiple tasks efficiently. Qualifications: Qualified Company Secretary (CS) 5 to 6 years of experience as a Company Secretary, preferably in the NBFC sector. Strong knowledge of RBI Regulations, corporate laws, compliance requirements, and governance practices. Excellent written and verbal communication skills. Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint) and compliance management tools.