13 Compliance Oversight Jobs

A leading Corporate Financial Institution is looking for a highly motivated, seasoned, and accomplished individual to join as a "CREDIT FUND MANAGER - CAT2-AIF" at MUMBAI - Andheri (E). The company specializes in providing best-in-class Wealth Management Solutions and Inter Corporate Deposits to High Net Worth Individuals, large and mid-corporate groups, and institutions. They excel in structured products, investments, and providing mezzanine financing to corporations in need of short-term working capital. As the Credit Fund Manager - CAT2-AIF, you will play a crucial role in evaluating the creditworthiness of potential investments by analyzing financial statements, industry trends, and economic factors. Monitoring the performance of the credit portfolio, identifying risks, and optimizing returns will be key responsibilities in this Individual Contributor (IC) role reporting directly to the Management team. Managing a portfolio of credit-based assets, assessing creditworthiness, managing risks, and making investment decisions within a defined framework will be part of your duties. You will also be responsible for developing and implementing credit risk management strategies that contribute to the overall investment strategy. Your role will involve sourcing and analyzing deals, creating and executing investment strategies aligned with the fund's objectives, considering market conditions, economic trends, and client needs. Managing the fund's assets, making investment decisions, monitoring performance, and optimizing returns will be essential to ensure alignment with the fund's goals and objectives. You will need to make investment decisions based on thorough analysis and risk assessment, aligning with the fund's investment strategy and risk appetite. Assessing and managing risks associated with investments to protect the fund's capital and achieve investment goals through diversification and strategic decision-making will be crucial. Furthermore, you will be responsible for ensuring compliance with regulatory requirements and internal and external policies and regulations. Prepare detailed reports on fund performance, present findings to senior management and clients, and collaborate closely with analysts, traders, and other stakeholders to inform investment decisions. To qualify for this role, you should have a Bachelor's or Master's degree in Finance, Economics, or a related field, along with 5 to 8+ years of experience in credit analysis, risk management, and portfolio management as a Credit Fund Manager specializing in AIF - CAT2 products. Deep understanding of credit markets, risk assessment, financial regulations, strong analytical and financial modeling skills, knowledge of credit products, credit risk management, and regulatory compliance, leadership, and team management skills are essential. Excellent communication and interpersonal skills are required, along with relevant professional certifications such as CFA, FRM, or others as applicable.,

Acquara is a leading global financial outsourcing organization providing comprehensive services in financial outsourcing, investment banking, mergers & acquisitions, investment management, financial advisory, human resource management, and IT services. Established in 2010 and headquartered in the UAE, Acquara operates in major financial hubs such as Singapore, the UK, and India. With over 12 years of global experience and a team of 100+ experts, we deliver innovative solutions for complex projects, prioritizing excellence, integrity, and superior client service. We are currently looking for an Associate Vice President of Indirect Taxation to join our Taxation department in Gurgaon. Reporting to the Vice President/Director of Taxation, the ideal candidate should possess a minimum of 10 years of experience in Indirect Taxation, preferably in a consulting environment, catering to international clients. As the Associate Vice President, you will play a pivotal role in leading our Indirect Taxation practice. The position necessitates strong leadership skills, a profound understanding of GST and other indirect taxes, and a proven track record in managing teams and client portfolios across various sectors. Your responsibilities will encompass overseeing advisory services, compliance management, client interactions, and internal team supervision. Key Responsibilities: 1. **Team & Portfolio Management:** Lead and mentor a team of Indirect Tax professionals, ensuring timely and accurate delivery of compliance and advisory services. Allocate resources efficiently to manage a diverse client portfolio while upholding internal SOPs and quality standards. 2. **Advisory & Opinion:** Provide technical advice and strategic guidance on GST, Customs, FTP, and other indirect tax matters. Draft tax opinions and memos on intricate transactions and interpretative issues, evaluating tax implications on business models and restructuring exercises. 3. **Client Engagement:** Act as the primary contact for key clients on indirect tax matters, fostering strong client relationships and ensuring satisfaction and retention. Participate in client meetings to discuss tax strategies, risks, and compliance issues. 4. **Compliance Oversight:** Supervise the team responsible for Indirect Tax compliance, ensuring timely filings and quality control. Coordinate with external consultants or legal advisors when necessary. 5. **Internal Coordination & Knowledge Sharing:** Collaborate with other departments for integrated service delivery, conduct internal training sessions, and contribute to thought leadership content. Qualifications & Skills: - Chartered Accountant (CA) qualification. - Minimum 7 years of post-qualification experience in Indirect Taxation. - Profound understanding of GST Law, Rules, and Procedures. - Strong analytical skills with the ability to interpret legal provisions and provide practical solutions. - Excellent communication, leadership, and interpersonal skills with a client-centric approach.,

Acquara is a leading global financial outsourcing organization offering comprehensive services in financial outsourcing, investment banking, mergers & acquisitions, investment management, financial advisory, human resource management, and IT services. Founded in 2010 and headquartered in the UAE, Acquara has offices in major financial centers like Singapore, the UK, and India. With over 12 years of global experience and a team of 100+ experts, innovative solutions to complex projects are provided, ensuring excellence, integrity, and strong client service. We are currently looking for an Associate Vice President for Indirect Taxation to lead our Taxation department. The ideal candidate should possess over 10 years of experience in Indirect Taxation, preferably in a consulting environment, and have a focus on international clients. As an Associate Vice President in Indirect Taxation at Acquara, you will be responsible for leading and mentoring a team of Indirect Tax professionals, overseeing advisory services, managing client engagements, ensuring compliance, and fostering internal coordination and knowledge sharing. Your role will involve providing technical advice, strategic guidance, and maintaining strong client relationships. Key Responsibilities: 1. Team & Portfolio Management: Lead and mentor a team of Indirect Tax professionals, review tasks, allocate resources effectively, and drive performance. 2. Advisory & Opinion: Provide technical advice on GST, Customs, FTP, and other indirect tax matters, draft tax opinions, evaluate tax implications, and stay updated with latest developments. 3. Client Engagement: Serve as the primary point of contact for key clients, build and maintain relationships, and participate in client meetings. 4. Compliance Oversight: Oversee Indirect Tax compliance, ensure quality control, and coordinate with external consultants when required. 5. Internal Coordination & Knowledge Sharing: Collaborate with other departments, conduct internal trainings, and contribute to thought leadership content. Qualifications & Skills: - Chartered Accountant (CA) qualification. - Minimum 7 years of post-qualification experience in Indirect Taxation. - Strong understanding of GST Law, Rules, Procedures, and Judicial Pronouncements. - Excellent communication, leadership, and interpersonal skills. - Client-centric approach with strong analytical thinking.,

As an Audit and Compliance Manager in the NBFC / Fintech Industry based in Andheri, Mumbai, you will report directly to the COO. Your primary responsibility will be to oversee and manage the internal audit and compliance functions of the organization. This pivotal role necessitates a comprehensive understanding of the regulatory landscape, robust analytical capabilities, and the proficiency to devise and implement efficient audit and compliance programs. Your duties will encompass the following key areas: Audit Management: - Develop and implement a thorough audit plan to evaluate the effectiveness of internal controls, financial reporting, and operational processes. - Conduct regular internal audits to gauge the compliance of company operations with established policies, procedures, and regulations. - Identify risk areas and provide suggestions for enhancing internal controls and processes. - Prepare detailed audit reports, outlining key findings and recommendations for management. Compliance Oversight: - Ensure adherence to all pertinent local, state, and federal regulations, as well as industry standards. - Formulate and uphold compliance policies and procedures, ensuring their currency and effective dissemination throughout the organization. - Stay abreast of changes in regulatory requirements and evaluate their implications on company operations. - Conduct compliance training programs for employees to boost awareness and comprehension of regulatory requirements and ethical standards. Risk Management: - Identify potential compliance vulnerability and risk areas, and craft/implement corrective action plans. - Collaborate with different departments to devise and implement risk mitigation strategies. - Sustain a risk management framework to ensure efficient identification, assessment, and management of risks. Reporting and Documentation: - Present audit and compliance reports to senior management and the board of directors. - Maintain comprehensive documentation of all audit and compliance activities, findings, and recommendations. - Ensure prompt and accurate reporting of compliance issues to regulatory authorities when necessary. Team Leadership: - Lead and oversee the audit and compliance team, offering guidance, training, and assistance. - Cultivate a culture of integrity, accountability, and continuous improvement within the team. - Conduct performance evaluations and deliver constructive feedback to team members. Qualifications: - A Master's degree in Finance, Accounting, Business Administration, or a related field. - Minimum of 6-10 years of experience in audit and compliance within the financial services or fintech industry. - Profound knowledge of regulatory requirements and industry standards pertinent to the fintech sector. Preferred Skills: - Proficiency in regulatory compliance tools and software. - Familiarity with emerging technologies and their implications on financial services compliance. - Strong project management capabilities. - Ability to function both independently and collaboratively in a dynamic environment.,

The Manager, Validation Operations position at Sectigo plays a crucial role in ensuring exceptional customer experiences during the validation and issuance processes. As a key leader, you will set high standards for excellence by actively engaging in validation tasks, guiding the team towards success, and overseeing daily operations. Your responsibilities will include providing training, mentorship, and leadership on product knowledge, compliance requirements, and process policies. Additionally, you will be involved in driving process improvements, efficiency strategies, and fostering cross-team collaboration to enhance overall service delivery. Strong leadership capabilities, PKI technical expertise, customer service acumen, and exceptional communication skills are essential for this role. This is a full-time, in-office position based in Chennai, working five days a week at DLF IT Park, Manapakkam, and reporting to the Senior Manager, Validation. Your core functions and responsibilities will revolve around team leadership, customer success management, compliance oversight, and subject matter expertise. In terms of team leadership, you will lead, motivate, and mentor a team of validation professionals to create a positive and customer-centric work environment. You will also perform validation tasks, process orders, cases, and calls, while training and coaching agents on validation processes and ensuring adherence to best practices. Achieving key performance indicators such as NPS, CSAT, and issuance time goals will be part of your accountability, along with setting performance goals, conducting evaluations, and providing coaching and feedback to team members. Moreover, you will contribute to the development of training materials and programs that enhance validation processes, product knowledge, and customer service skills. For customer success management, you will monitor dynamic validation queues to optimize resource allocation and workflow for meeting issuance time goals. Addressing customer issues, troubleshooting problems, and providing prompt resolutions will be crucial aspects of your role. You will proactively communicate with customers, deliver timely updates, gather feedback, and address concerns professionally. In terms of compliance oversight, you will review cases and orders to ensure compliance with validation processes and procedures. Reporting mis-issued certificates and escalating for further investigation when necessary are part of your responsibilities. Applying industry standards and compliance requirements to validation scenarios, while training, mentoring, and evaluating team members, processes, and policies will also be key duties. As a subject matter expert, you will leverage your in-depth knowledge of products, services, validation systems, and policies to guide agents and resolve complex issues. Understanding validation processes, system limitations, and industry requirements will enable you to identify opportunities for process automation, improvements, and training. Additionally, you will contribute to the development of product roadmaps based on insights into validation process enhancements and industry needs. The ideal candidate should possess a Bachelor's degree in a related field (advanced degree preferred), along with a minimum of 10+ years of hands-on experience in customer-centric roles within the software/IT industry and 6+ years of experience in leadership roles. You should have demonstrated ability to work independently and collaboratively in a global, cross-functional environment, prior experience in an agile, customer-centric setting, strong leadership skills, excellent communication skills, and proficiency with customer support tools and CRM systems. This dynamic and challenging role is perfect for a professional with a passion for leadership, customer service, and process optimization. If you have a proven track record of driving team performance and continuous improvement in a fast-paced environment, we encourage you to apply and be a part of Sectigo's mission to secure the digital landscape for enterprises worldwide.,

The HRBP - Operational Support & Off-roll Management role entails delivering HR services and ensuring compliance for facility, food & beverage, and hostel staff, as well as overseeing HR processes for off-roll staff. Responsibilities include maintaining labor law compliance, implementing engagement strategies, managing employee relations, and optimizing HR operations. Collaborating with operational managers is crucial to foster a positive work environment, enforce HR policies consistently, and tackle the challenges of overseeing both on-roll and off-roll employees. Key Responsibilities: HR Support for Facility, F&B, and Hostel Staff: Serve as the primary HR point of contact for facility, food & beverage, and hostel staff. Address employee relations issues, conduct regular check-ins, and ensure the consistent application of HR policies. Collaborate with department managers to provide tailored HR support. Off-roll Staff Management & Compliance: Oversee HR processes for off-roll staff, ensuring compliance with labor laws and organizational policies. Track contractual agreements, ensure timely renewal or termination, and maintain statutory compliance. Conduct audits to verify vendors comply with legal and organizational standards. Talent Acquisition & Onboarding: Partner with Talent Acquisition to facilitate recruitment for operational roles. Manage onboarding for both on-roll and off-roll staff, ensuring a smooth transition. Conduct orientation sessions and introduce new hires to HR policies and operational guidelines. Employee Engagement & Retention: Design and implement engagement activities for operational staff. Conduct stay interviews to address employee needs and reduce turnover. Implement recognition programs to boost morale and productivity. Performance Management & Development: Support operational managers in setting performance standards and providing feedback. Identify development needs and collaborate on relevant training programs. Assist in managing performance improvement plans and addressing underperformance constructively. Compliance & Policy Implementation: Ensure HR policies are communicated and adhered to by all staff. Conduct compliance checks for off-roll staff and provide training on HR policies, workplace conduct, and safety protocols. Data Analysis & Reporting: Track HR metrics for operational support and off-roll staff. Prepare reports on turnover, engagement levels, and compliance. Use data insights to recommend improvements in HR support and engagement. Key Competencies: Relationship Building: Establish and maintain effective relationships with staff and managers. Compliance & Attention to Detail: Strong understanding of labor laws and compliance standards. Problem-Solving & Conflict Resolution: Address and resolve employee relations issues effectively. Adaptability: Adjust HR practices to meet the dynamic needs of different departments. Data-Driven Decision Making: Track and analyze HR metrics to enhance HR practices. Required Qualifications: Bachelor's degree in Human Resources, Business Administration, or related field. 3-5 years of HR experience, preferably in operational support or off-roll workforce management. Strong knowledge of HR best practices in employee relations, performance management, and compliance. Excellent communication and interpersonal skills. Preferred Qualifications: HR certification (e.g., SHRM-CP, PHR) is advantageous. Experience in facility management, hospitality, or similar operational environments. Familiarity with compliance requirements for contract and outsourced staff.,

You will have the opportunity to join a leading global investment management firm in Hyderabad as a mid-senior Compliance professional. This role is suited for individuals with a PQE of 8-12 years and a strong background in Global Regulatory Filings such as Form PF, Form CPO-PQR. Your responsibilities will include Compliance Monitoring and Oversight within the Investments and Financial Services sector. If you have extensive experience in this field and are looking for a new challenge, we encourage you to reach out to nilasha@vahura.com and utkarsh@vahura.com for a confidential discussion.,

As a Senior Compliance Manager in the Retail Liabilities & Wealth department at our Bank, your role will be crucial in managing overall compliance risk and ensuring regulatory requirements are met. You will collaborate with various business units and support functions to implement and oversee compliance activities effectively. Your responsibilities will include providing compliance oversight and advisory support to businesses, ensuring regulatory compliance, and managing overall compliance risk. You will review and update policies, procedures, manuals, and internal process documents in alignment with RBI guidelines, focusing on closing any observations from regulatory inspections. Additionally, you will be responsible for reviewing and providing feedback on new products, campaigns, and variants before their launch. It will be essential to disseminate relevant circulars from RBI, PFRDA, and IRDA to business teams and ensure their implementation. You will respond to regulatory queries promptly and ensure timely submission of certifications, reports, and communications. Training personnel on compliance responsibilities, identifying and escalating compliance issues, and collaborating with stakeholders during regulatory inspections are also key aspects of your role. You will conduct compliance monitoring exercises, prepare regulatory checklists, and submit necessary notes to the Board periodically. To excel in this role, you should have a minimum of 5-10 years of experience in compliance functions within a Bank or NBFC. A solid educational background with any graduation and post-graduation qualification is required. Your proactive approach to compliance activities and strong communication skills will be instrumental in ensuring the Bank's adherence to regulatory standards. Overall, as a Senior Compliance Manager, you will play a pivotal role in upholding compliance standards, managing risks, and fostering a culture of regulatory awareness within the Retail Liabilities & Wealth department.,

We are seeking an experienced and dynamic Branch Manager to oversee our retail banking operations. As the main point of contact for the branch, you will be responsible for driving business growth, ensuring operational excellence, and providing exceptional customer service. This role necessitates strong leadership abilities, revenue ownership, client acquisition skills, team management expertise, and compliance oversight. Your responsibilities will include managing the branch as a profit center by enhancing revenue growth in liability products, third-party products (TPP), and retail assets. You will need to achieve sales targets at both individual and branch levels through new client acquisitions, cross-selling, and portfolio deepening. It will be important to maintain and monitor the Annual Operating Plan (AOP) across various product lines such as CASA, FD, loans, and fee income, while also tracking and optimizing Net Interest Income (NII), fee income, and operational expenses (OPEX). Building and maintaining strong relationships with high-value clients and local business communities will be crucial, along with leading customer onboarding, account activation, and cross-selling of products like mutual funds, insurance, and gold loans. Monitoring customer service delivery to ensure high Customer Satisfaction Index (CSI) scores and addressing customer complaints promptly to prevent escalations are also key aspects of the role. In terms of team leadership, you will be responsible for mentoring and developing a high-performing team of Relationship Managers, Sales Officers, and Branch Service Managers. This will involve conducting daily huddles, monthly performance reviews, and training workshops to align team goals and enhance productivity. Additionally, guiding new joiners and providing structured feedback and performance appraisals for all branch staff will be essential. Ensuring branch compliance with RBI regulations, internal policies, and audit guidelines is another critical aspect of the role. You will need to maintain high audit scores, adhere to risk controls, KYC norms, and operational processes, as well as monitor daily sales reports (DSRs), account closures, FD renewals, and other key business metrics. Managing and updating leads and client activities through the CRM system will also be part of your responsibilities. Maintaining the branch ambiance and infrastructure according to 5S standards, as well as ensuring the availability of resources and a customer-friendly layout to reflect brand standards, will be key in branch infrastructure and brand administration. Key deliverables for this role include growth in CASA balances, fixed deposits, and the retail lending portfolio, increased fee income from TPP products like mutual funds, insurance, and gold loans, high Customer Service Index (CSI) scores, low complaint/escalation ratios, and effective cost control and OPEX optimization. The ideal candidate will have prior experience as a Branch Manager or in a similar leadership role in Retail Banking, a proven track record in sales, client acquisition, portfolio management, and team handling, a strong understanding of banking products and services, especially current accounts and retail assets, and familiarity with regulatory compliance, audit processes, and risk management in a retail banking setup. Desired skills and competencies for this role include strong leadership and team management skills, excellent communication and interpersonal abilities, an analytical mindset with data-driven decision-making capacity, a strong customer service orientation, and in-depth knowledge of retail banking operations, CASA, and financial products.,

You will be responsible for analyzing workflows, identifying bottlenecks, and implementing improvements to enhance efficiency. Your role will involve coordinating resources to ensure that teams have the necessary personnel, materials, and tools to meet objectives effectively. Utilizing data for performance tracking, trend identification, and informing strategic decisions will be a key part of your responsibilities. Ensuring compliance with industry regulations and company policies will also be essential. Building and maintaining relationships with vendors, negotiating contracts, and ensuring timely service delivery will fall under your purview. You will oversee operational costs, ensuring resource allocation is efficient. Contributing to the development of operational strategies and goals through strategic planning will be expected. Additionally, you may lead and motivate a team, provide guidance, and foster a collaborative work environment to drive success. This is a full-time position with a rotational shift schedule. The work location is in person.,

Choosing Capgemini means choosing a company where you will be empowered to shape your career in the way you'd like, where you'll be supported and inspired by a collaborative community of colleagues around the world, and where you'll be able to reimagine what's possible. Join us and help the world's leading organizations unlock the value of technology and build a more sustainable, more inclusive world. As the Risk and Compliance Manager, you will be responsible for identifying and managing risks across the organization, ensuring compliance with legal and client requirements, and maintaining internal controls. You'll lead audits, monitor regulatory changes, and guide the company in staying compliant with data protection. In this role, you will play a key role in: Risk Management: Identify, assess, and monitor operational, financial, legal, and reputational risks. Compliance Oversight: Ensure compliance, including data protection (e.g., GDPR). YOUR PROFILE: Training & Awareness: Develop and deliver compliance training programs for employees. Incident Management: Investigate compliance breaches, fraud, or misconduct and recommend corrective actions. We recognize the significance of flexible work arrangements to provide support. Be it remote work, flexible work hours, or alternative work schedules, you will get an environment to maintain a healthy work-life balance. Capgemini is a global business and technology transformation partner, helping organizations to accelerate their dual transition to a digital and sustainable world, while creating tangible impact for enterprises and society. It is a responsible and diverse group of 340,000 team members in more than 50 countries. With its strong over 55-year heritage, Capgemini is trusted by its clients to unlock the value of technology to address the entire breadth of their business needs. It delivers end-to-end services and solutions leveraging strengths from strategy and design to engineering, all fueled by its market-leading capabilities in AI, generative AI, cloud, and data, combined with its deep industry expertise and partner ecosystem.,

Role : Assistant Vice President Business Oversight Compliance Location: Pune Package: up to 30 LPA Key Responsibilities Identify, assess, and investigate compliance risks in business activities, controls, and systems. Monitor and respond to potential market abuse , money laundering , or financial crime risks. Review compliance breaches and support implementation of preventive/corrective actions. Drive implementation of compliance frameworks and ensure policies align with international and jurisdictional requirements. Contribute to the development and enhancement of compliance policies, controls, and procedures Advise and influence senior stakeholders on compliance risks and mitigation strategies. Support change management and regulatory projects with a risk-aware lens. Ideal Candidate Profile Mandatory Experience: Proven expertise in compliance risk identification, mitigation, and monitoring . Strong project and change management experience, especially in regulatory environments. Effective stakeholder management and sound escalation judgment. Demonstrated policy and control development experience . Deep understanding of compliance function . Excellent written/verbal communication and analytical skills. To know more contact Kanika on 9953939776 email: kanika@manningconsulting.in

We are seeking an experienced and proactive professional to join our Compliance team as Assistant Vice President (AVP). The AVP Compliance will be responsible for providing oversight and support in execution of various compliance activities, ensuring full adherence to applicable regulatory requirements. Key Responsibilities: 1. Regulatory Reporting and Oversight: Prepare / Review and validate periodic reports prepared for submission to regulatory authorities. Monitor regulatory timelines and ensure adherence to filing deadlines. Provide guidance to junior team members and coordinate cross-departmental inputs. 2. Compliance Monitoring Tool Management: Oversee the maintenance, enhancement and effective usage of the compliance monitoring tool. Ensure timely tracking and closure of regulatory obligations. 3. Support on Board and Committee Meetings: Preparation of agenda, presentation, and notes for Board and Board Committee meetings. Ensure all compliance-related matters are captured and documented accurately. Maintain records and minutes as per regulatory and internal requirements. 4. Reporting to Parent company and other compliance activities Submission of Certificates, Dashboards and other reports to the Parent Company Approve marketing and promotional content from a regulatory compliance standpoint. Handling Internal audit requirements. 5. General Compliance Oversight: Provide mentoring to junior compliance team members and support their deliverables. Coordinate with senior stakeholders to resolve compliance issues and strengthen internal governance. Qualifications & Experience: Graduate/Postgraduate in Law, Commerce, Finance, or related field. 5–8 years of relevant experience in compliance within the BFSI/NBFC sector. Strong understanding of RBI Master Directions, SEBI regulations, and other relevant compliance frameworks.