Job Description
Executive/Assistant Manager/Manager - Compliance
Key Responsibilities:
- Assist in the development, implementation, and maintenance of compliance policies and procedures in accordance with SEBI regulations.
- Conduct regular compliance reviews and audits to ensure adherence to regulatory requirements and internal policies.
- Monitor regulatory developments and assess their impact on the company's operations, providing guidance and recommendations as necessary.
- Assist in the preparation and submission of regulatory filings and reports, ensuring accuracy and timeliness.
- Conduct employee training on compliance-related matters and provide ongoing support and guidance to ensure understanding and adherence to regulatory requirements.
- Investigate and resolve compliance issues, including conducting internal investigations and implementing corrective actions as needed.
- Collaborate with internal teams, including legal, risk management, and operations, to address compliance-related concerns and implement best practices.
- Stay informed about industry trends and best practices in compliance, contributing to the continuous improvement of compliance processes and procedures.
Skills and Expertise:
- A bachelor's degree in business law, finance, capital markets or a related field; an advanced / post graduate degree like LLB, CA or CS is preferred.
- Aggregate work experience of 2-8 years in compliance, regulatory affairs, or a related field.
- Strong understanding of relevant laws, regulations, and industry standards.
- Excellent analytical skills and attention to detail.
- Effective communication skills, both written and verbal.
- Proactive approach to problem-solving and the ability to work both independently and collaboratively in a team environment.
- Ability to handle confidential information with discretion and professionalism.
- Proficiency in MS Office suite, particularly Excel, Word, and PowerPoint.
Key Responsibilities:
- Assist in the development, implementation, and maintenance of compliance policies and procedures in accordance with SEBI regulations.
- Conduct regular compliance reviews and audits to ensure adherence to regulatory requirements and internal policies.
- Monitor regulatory developments and assess their impact on the company's operations, providing guidance and recommendations as necessary.
- Assist in the preparation and submission of regulatory filings and reports, ensuring accuracy and timeliness.
- Conduct employee training on compliance-related matters and provide ongoing support and guidance to ensure understanding and adherence to regulatory requirements.
- Investigate and resolve compliance issues, including conducting internal investigations and implementing corrective actions as needed.
- Collaborate with internal teams, including legal, risk management, and operations, to address compliance-related concerns and implement best practices.
- Stay informed about industry trends and best practices in compliance, contributing to the continuous improvement of compliance processes and procedures.
Skills and Expertise:
- A bachelor's degree in business law, finance, capital markets or a related field; an advanced / post graduate degree like LLB, CA or CS is preferred.
- Aggregate work experience of 2-8 years in compliance, regulatory affairs, or a related field.
- Strong understanding of relevant laws, regulations, and industry standards.
- Excellent analytical skills and attention to detail.
- Effective communication skills, both written and verbal.
- Proactive approach to problem-solving and the ability to work both independently and collaboratively in a team environment.
- Ability to handle confidential information with discretion and professionalism.
- Proficiency in MS Office suite, particularly Excel, Word, and PowerPoint.
💡 Quick Summary
Seeking a career-building opportunity? The Executive|Assistant Manager|Manager | Compliance | BFSI | LLB|LLM position is now open for candidates interested in the Legal Jobs sector. This role in Mumbai offers a professional environment and growth potential.
Requirement Snapshot: Candidates should possess basic communication skills, a proactive attitude, and the ability to work in a team. Experience in Legal Jobs is a plus.
