Operations and Compliance Executive PI Square Advisors

2 - 3 years

0 - 0 Lacs

Ahmedabad

Work from Office

Role & responsibilities 1. Oversee daily operational activities, ensuring efficient back-office functioning 2. Coordinate with custodians, brokers, and internal teams for trade settlements and reconciliations 3. Maintain and update client portfolios and transaction records 4. Monitor compliance with regulatory requirements and internal policies 5. Assist in generating performance reports and operational metrics 6. Support fund accounting and NAV calculations, where applicable 7. Contribute to process improvement initiatives and system upgrades Preferred candidate profile - Bachelors degree in Finance, Business Administration, or related field - 13 years of experience in financial services or...

Posted 4 months ago

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Compliance Officer- Prevention of Insider Trading Abans Finserv

3 - 5 years

7 - 15 Lacs

Mumbai, Mumbai Suburban, Navi Mumbai

Work from Office

Job Purpose: To ensure compliance with regulatory requirements under SEBI (Prohibition of Insider Trading) Regulations, 2015, and internal codes of conduct relating to handling unpublished price-sensitive information (UPSI), trading windows, and disclosures. Role & responsibilities Develop, implement, and monitor the Code of Conduct for Prevention of Insider Trading in accordance with SEBI regulations. Maintain Structured Digital Database (SDD) as mandated under SEBI PIT Regulations. Monitor and manage the trading window closures/openings and ensure timely communication to designated persons. Track and analyze trading activity of designated persons and immediate relatives for potential insid...

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Aml Associate Hdfc Securities

3 - 8 years

5 - 10 Lacs

Mumbai Suburban, Navi Mumbai, Mumbai (All Areas)

Work from Office

Compliance Assistant Opportunity! We're seeking a highly motivated and detail-oriented PMLA individual to join our team at our Kanjurmarg location! Desired Attribute: Must have work experience in PMLA Compliance for Capital Market/Broking for more than 3 years NISM Certified for Capital Market, SORM, and Equity Derivatives Module Proficient in MS Office Word, Excel & PowerPoint Job Description: Analysing and Closing PMLA Alerts Client Screening Activities related to PMLA Suspicious Reporting of Clients to FIU Maintaining and Reporting MIS Regular Monitoring and implementing of PMLA Circulars Talking to Clients / Branches for seeking clarification Any other Surveillance & PMLA activities.

Posted 4 months ago

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Chartered Accountant Bridgexcel Innovations

15 - 17 years

17 - 20 Lacs

Noida

Work from Office

- Finalize balance sheets per accounting standards. - File quarterly returns and ensure regulatory compliance. - Manage financial statements, tax planning & audits. - Adhere to SEBI, stock exchange, & company law norms. Required Candidate profile - CA (ICAI) with 15+ yrs of experience. - Worked with listed companies. - Strong in SEBI rules, return filings & governance. - Skilled in ERP, accounting tools & modeling.

Posted 4 months ago

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RBI Compliance Manager (NBFC) Manmuk Creations

8.0 - 13.0 years

15 - 30 Lacs

mumbai

Work from Office

Having experience in NBFC, SEBI or IRDA Compliances along with AML & KYC. Preparing, reviewing policies from RBI Compliance perspective. Providing updates / disclosures to Board. Drafting and addressing the queries received from RBI on day-day basis. Required Candidate profile Minimum 6+ years of experience managing RBI compliances for NBFC domain. SEBI and IRDA Compliance knowledge is an added advantage 5 days working (In Office, No Hybrid working)

Posted Date not available

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Company Secretary - CS Sone India

5.0 - 8.0 years

12 - 18 Lacs

chennai

Work from Office

Key Responsibilities: - Ensure compliance with all statutory and regulatory requirements under the Companies Act and other applicable laws. - Organize, coordinate, and manage Board and Committee meetings, including drafting agendas, preparing minutes, and maintaining statutory registers. - Oversee corporate governance, risk management, and internal control frameworks. - Draft and review agreements, contracts, resolutions, and other legal documents. - Liaise with regulatory authorities, legal counsels, and other external stakeholders. - Support senior management in legal and compliance matters.

Posted Date not available

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Chief Financial Officer SRVS SOLARS LIMITED

15.0 - 17.0 years

12 - 18 Lacs

raipur

Work from Office

Role Summary: The Chief Financial Officer (CFO) will be a strategic member of the executive leadership team, responsible for driving financial strategy, governance, capital planning, and IPO readiness . The CFO will lead all finance-related functions including corporate finance, financial planning & analysis (FP&A), statutory compliance, investor relations, and audit. The candidate must have direct experience in or deep familiarity with IPO execution , SEBI regulations , and investor engagement. Key Responsibilities: Financial Strategy & Planning Lead financial strategy, budgeting, forecasting, and cash flow management Establish and monitor KPIs for financial performance , working capital, a...

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