Compliance Manager- PMS Legal Talent Management

5.0 - 10.0 years

18 - 27 Lacs

bengaluru, mumbai (all areas)

Work from Office

Our client, a SEBI-registered Portfolio Management Service (PMS) firm, is looking for a Compliance Manager to drive its regulatory, governance, and risk framework. What Youll Do: Ensure full compliance with SEBI PMS Regulations, Circulars, and other statutory requirements. Manage SEBI filings, audits, and inspections with precision. Establish and monitor internal compliance policies, SOPs, and investment guideline checks. Oversee client onboarding, AML/KYC reviews, and SEBI SCORES compliance. Liaise with SEBI/APMI and act as the firms compliance point of contact. Partner with leadership to strengthen a culture of compliance and governance. What We’re Looking For: Experience: 5–8 years in Com...

Posted 5 hours ago

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Compliance - 40 Act Compliance - Senior Professional KKR

4.0 - 8.0 years

0 Lacs

haryana

On-site

Role Overview: KKR is looking for a resource to support the growing KKR Public Vehicle and Registered Investment Company platform. As part of the Legal & Compliance team, you will be responsible for assisting with the compliance and regulatory program aspects of the 40 Act Program under KKR Public and Private Markets. The role is based in Gurugram and involves working with registered investment companies, business development companies (BDCs), and other public investment vehicles managed by KKR & Co. Inc., KKR Credit Advisors (US) LLC, KKR Registered Advisor LLC and FS/KKR Advisor, LLC. Key Responsibilities: - Support KKR Public and Private Markets SEC exemptive relief program, including own...

Posted 2 days ago

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Senior Associate, Trustee & Depositary BNY Mellon Capital Management Corp

0.0 years

0 Lacs

india

On-site

At BNY, our culture allows us to run our company better and enables employees growth and success.As a leading global financial services company at the heart of the global financial system, we influence nearly 20% of the world's investible assets. Every day, our teams harness cutting-edge AI and breakthrough technologies to collaborate with clients, driving transformative solutions that redefine industries and uplift communities worldwide. Recognized as a top destination for innovators and champions of inclusion, BNY is where bold ideas meet advanced technology and exceptional talent. Together, we power the future of finance - and this is what #LifeAtBNY is all about. Join us and be part of s...

Posted 1 month ago

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Compliance Specialist Investment Management Voya India

5.0 - 9.0 years

0 Lacs

karnataka

On-site

As an Investment Compliance professional at VOYA INDIA, you will be an integral part of the team responsible for ensuring adherence to investment policies, particularly focusing on BlackRock Aladdin platform. Your role will involve analyzing investment restrictions against fund exposure, reading fund prospectuses and policy statements to extract relevant restrictions, and amending or coding rules on BlackRock Aladdin for accurate compliance reporting. You will need to have a strong eye for detail to identify any miscalculations or deficiencies in approach, as well as the ability to understand different exposure calculations. Additionally, your investigative and research-oriented mindset will...

Posted 1 month ago

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Operations Manager, VP Deutsche Bank

10.0 - 14.0 years

0 Lacs

pune, maharashtra

On-site

As the Operations Manager, VP at DWS in Pune, India, you will have the opportunity to lead ambitious initiatives and shape the future of investing in the rapidly changing markets. You will be part of an industry-leading firm with a global presence, supporting clients, local communities, and the environment. DWS is looking for creative thinkers and innovators to join the team and seize the opportunities of tomorrow. Investors for a new now, we are committed to finding investment solutions for our clients" financial future while providing you with the support and platform to develop new skills and work alongside industry thought leaders. In this role, you will be responsible for leading operat...

Posted 1 month ago

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