6 Regulatory Obligations Jobs

The role of MT (Management Trainee) in the Compliance department of a Leading Private Bank in Mumbai requires a candidate who is a CA 1st Attempt. As an MT, your primary objective will be to manage various projects within the Compliance Testing team. You will be responsible for assisting the team in reviewing Compliance monitoring themes, products, and processes by conducting data review, analysis, and ensuring proper reporting. Your duties will include disseminating and tracking the implementation of regulatory obligations across business units. Additionally, you will be assigned compliance-related tasks and projects as required. You will also manage projects within the Compliance function and assist the team in data analysis during reviews of products and processes to identify and mitigate compliance risks. Furthermore, you will be responsible for disseminating and tracking the implementation of Regulatory circulars, as well as collating data for Risk-Based Supervision and Compliance risk assessment. You will also prepare various decks, charts, and MIS for reporting purposes. To apply for this position, please share your CV with the required details such as Current Salary (Fixed), willingness for a salary of 11 LPA, Articleship Firm, Current Location, Date of Joining (if selected), CA Batch, Number of Attempts, willingness for Face-to-Face Interview, willingness to work in Mumbai, and any existing job offers. If you are interested in this opportunity, kindly send your CV to Samiksha@phenomplacements.in. Regards, Samiksha Phenom Placement,

Unlock seamless data management by efficiently handling and maintaining client reference data across diverse business lines and locations, ensuring timely and authorized actions for optimal performance. As a Reference Data Specialist within the Party Central team, you will manage and maintain client reference data across multiple business lines and locations, ensuring timely and authorized data actions. You will liaise with requestors and business partners, conduct data analysis, and maintain MIS reports, while valuing strong analytical skills and teamwork. Lead daily operations related to Party Central, focusing on setup, maintenance, and updates on client accounts. Validate and diligently review documentation. Ensure requests are authorized and clearly understood before actioning. Ensure the procedural guidelines are followed without any misses. Proactively resolve open issues and escalations, keeping Management in the loop. Act as a primary contact for internal stakeholders, ensuring effective communication. Should manage training needs of the team along with ensuring completion of the mandatory targets. Provide expertise on client hierarchies, ownership structures, and regulatory obligations. Support audit requirements with timely and accurate data retrieval and documentation. Develop and maintain standard operating procedures and control frameworks. Required Qualifications, Skills, and Capabilities: University graduate with 3+ years of experience in financial services or related industries. Fluency in written and spoken English with strong communication skills. Proficiency in party reference data, client onboarding, and KYC processes. Proficient in advanced Excel and PowerPoint, with strong analytical skills and attention to detail.,

You will be responsible for conducting compliance testing and reporting in a detailed and proactive manner. Your role will involve performing periodic testing and surveillance of key business areas to ensure compliance with policies, procedures, and regulatory obligations. Additionally, you will be required to review and maintain policies & procedures, risk assessments, and key risk indicators. In terms of reporting, you will prepare formal compliance assessment reports that summarize test results, identify risk areas, and recommend risk mitigation plans and process enhancements. You will also assist with the development and implementation of corrective actions as identified by the testing program, as well as recommend enhancements to all aspects of the business. Your responsibilities will also include preparing memoranda documenting surveillance results. Furthermore, you will be expected to provide support to clients registered as investment advisers on investment limitations and research, offer compliance support on operational initiatives and related matters, and undertake ad hoc projects as required. You will need to have a good understanding of SEC compliance, 38(a)-1 Compliance program, state insurance laws, and be able to develop successful working relationships with Business, Technology, and Third-Party Administrators (TPA). To qualify for this role, you should hold an MBA, Law, M.Com, FRM, CRCM, or CISI qualification with a minimum of 6 years of industry experience, including 3-4 years of core compliance, testing, and/or audit experience. A thorough understanding of regulations related to financial instruments, investments, loans, annuities, and prior experience in compliance is essential. You should also have the ability to process and filter large amounts of complex information quickly and identify appropriate actions in a fast-paced environment. Familiarity with compliance reporting and filing structures of regulating authorities, as well as good report writing and presentation skills, are also required.,

As a global leader in assurance, tax, transaction and advisory services, we hire and develop the most passionate people in their field to help build a better working world. This starts with a culture that believes in giving you the training, opportunities and creative freedom. At EY, we don't just focus on who you are now, but who you can become. We believe that it's your career and It's yours to build which means potential here is limitless and we'll provide you with motivating and fulfilling experiences throughout your career to help you on the path to becoming your best professional self. The opportunity : Analyst-TMT-TAX-TAX - Indirect Tax - Core - New Delhi TMT : Industry convergence offers TMT (Technology, Media & Entertainment, and Telecommunications) organizations the chance to evolve and transform, but it also presents challenges around competitiveness and delivering agile corporate strategies for growth. We help TMT companies create compelling employee and customer experiences, retaining skills and talent while achieving enterprise-wide operational excellence. We help them guard their data, brand and reputation. We also enable the pursuit of M&A strategies that methodically create value, reduce risk and transform TMT companies into powerhouses that will lead the technology revolution of the future building a better working world for all. TAX - Indirect Tax - Core : Our globally connected tax professionals offer associated services across all tax disciplines to help the clients prosper in an era of rapid change. We combine our exceptional knowledge and experience with the people and technology platforms to equip clients in making better business decisions by bringing insights to the forefront. We help companies recognize the tax policies and tax laws of governments around the world to plan and comply accordingly. Our teams leverage transformative technologies to deliver strategy and execution, from tax and regulatory obligations to operations and workforce management, to reduce risk and drive sustainable value. EY has competencies in Business Tax Services, Global Compliance and Reporting, Global Law, Indirect Tax, International Tax and Transaction Services. Your key responsibilities Technical Excellence gst Skills and attributes To qualify for the role you must have Qualification commerce graduate Experience 1-5 years

Role Description: This is a full-time on-site role for a Compliance Officer located in Greater Noida. We are seeking an experienced Compliance Officer to join our team. This role is Pivotal in ensuring that the organisation maintains full compliance for the College. This role monitors regulatory obligations, supports continuous improvement, and ensures the organisation's policies, procedures, training, assessment, and reporting activities meet regulatory requirements. This position requires a proactive individual who thrives tin a fast paced, multicultural environment, driving meaningful collaboration and supporting college's global objective. Key Responsibilities : Monitor regulatory changes and ensure timely implementation of required changes across the organization. Conduct regular internal audits and risk assessments to identify potential non-compliance issues. Investigate compliance breaches and recommend corrective actions. Maintain records and documentation to support regulatory inspections or audits. File and organize documentation related to compliance policies, procedures, and correspondence Coordinate and schedule compliance meetings, training sessions Draft reports, memos, and correspondence as required. Respond to routine queries related to compliance documentation and processes. Maintain confidentiality and ensure data protection policies are followed. Perform other administrative tasks to support the compliance department as needed. What Were Looking For: Strong communication and interpersonal skills. Sales-driven mindset with a knack for closing deals. Ability to manage time effectively and handle multiple tasks. Basic administrative skills (MS Office proficiency preferred). Bachelor's or masters degree in law, Business Administration, Finance, or a related field. Minimum [2+] years of experience in compliance, audit, legal, or risk management roles. Excellent analytical, investigative, and problem-solving skills. High level of integrity and professional ethics. Positive attitude and eagerness to learn.

Role Description: This is a full-time on-site role for a Compliance Officer located in Greater Noida. We are seeking an experienced Compliance Officer to join our team. This role is Pivotal in ensuring that the organisation maintains full compliance for the College. This role monitors regulatory obligations, supports continuous improvement, and ensures the organisation's policies, procedures, training, assessment, and reporting activities meet regulatory requirements. This position requires a proactive individual who thrives tin a fast paced, multicultural environment, driving meaningful collaboration and supporting college's global objective. Key Responsibilities : Monitor regulatory changes and ensure timely implementation of required changes across the organization. Conduct regular internal audits and risk assessments to identify potential non-compliance issues. Investigate compliance breaches and recommend corrective actions. Maintain records and documentation to support regulatory inspections or audits. File and organize documentation related to compliance policies, procedures, and correspondence Coordinate and schedule compliance meetings, training sessions Draft reports, memos, and correspondence as required. Respond to routine queries related to compliance documentation and processes. Maintain confidentiality and ensure data protection policies are followed. Perform other administrative tasks to support the compliance department as needed. What Were Looking For: Strong communication and interpersonal skills. Sales-driven mindset with a knack for closing deals. Ability to manage time effectively and handle multiple tasks. Basic administrative skills (MS Office proficiency preferred). Bachelor's or masters degree in law, Business Administration, Finance, or a related field. Minimum [2+] years of experience in compliance, audit, legal, or risk management roles. Excellent analytical, investigative, and problem-solving skills. High level of integrity and professional ethics. Positive attitude and eagerness to learn.