The Job logo

What

Where

Sign in

Sr. Manager - Compliance

ApplyJoin for More Updates

You must Sign In before continuing to the company website to apply.

Smart SummaryPowered by Roshi
We are looking for a candidate with 5+ years of relevant experience in broking compliance. The candidate should have strong knowledge and experience in conducting concurrent CDSL audit reports, internal audit reports, and AI-ML reporting on a quarterly basis. They should also have experience in handling inspections from SEBI, CDSL, and exchanges. The candidate must be self-driven, have an ownership mindset, and be able to aggressively drive and deliver results.

Requirement : 5+ Years of Relevant experience in similar Industry ( Broking Compliance) 

-Concurrent CDSL audit report - guiding audits and submission of report

-Internal audit report - Providing data, guiding audits and submission of report

-AI-ML reporting on quarterly basis

-Submission of Half yearly reports viz. System Audit, Cyber Security, Networth, etc.

-Action Taken reports of all audit observation post audit

-Handling inspections from SEBI, CDSL & Exchanges

-Segregation reporting - NSE & MCX

-Disseminating and implementation of circulars issued by regulators

-Providing data to auditors & various agencies

 

Psst… tips on how you can beat the competition: 

If you can showcase your abilities to:

·  Be self-driven / quick starter

·  Have an ownership mindset

·  Aggressively drive and deliver results 


 

Set alert for similar jobsSr. Manager - Compliance role in Mumbai, India
Upstox Logo

Company

Upstox

Job Posted

a year ago

Job Type

Full-time

WorkMode

On-site

Experience Level

3-7 Years

Category

Legal

Locations

Mumbai, Maharashtra, India

Qualification

Bachelor

Applicants

Be an early applicant

Related Jobs

Michael Page Logo

Sr Manager / Director || CS and Legal || 6+ PQE || Mumbai

Michael Page

Mumbai, Maharashtra, India

Posted: a year ago

We are looking for a qualified Company Secretary with 6+ years of experience. You will be responsible for implementing governance and compliance framework, ensuring compliance with applicable laws, monitoring secretarial compliance and governance risks, implementing best practices and procedures, and evaluating legal and statutory regulations. Additionally, you will be leading board processes, managing corporate projects, and overseeing CSR initiatives.

Upstox Logo

Senior Product Manager

Upstox

Mumbai, Maharashtra, India

Posted: a year ago

Apply for the role of Senior Product Manager to innovate, build, and launch easy-to-use investing tools for our customers. Design product roadmap, execute life cycle processes, and drive revenue strategy. Lead and motivate teams, define long term product strategy, and make build, partner, or acquire decisions. Must have experience in high-growth B2C products and effective communication skills.

IDFC FIRST Bank Logo

Senior Hindsighting Manager

IDFC FIRST Bank

Mumbai, Maharashtra, India

Posted: 7 months ago

The Senior Hindsighting Manager is responsible for formulating and implementing Retail Risk policy, developing screening methodologies, and generating reports. The role involves designing and implementing hindsight frameworks for various retail products, ensuring compliance with regulators, identifying process gaps, and collaborating with internal teams for process improvements. This full-time, on-site position is based in Mumbai, Maharashtra, India at IDFC FIRST Bank.

Michael Page Logo

Lead Legal Counsel- Compliance and Real Estate

Michael Page

Mumbai, Maharashtra, India

Posted: a year ago

Serves as a key adviser to the senior management and provides day-to-day advice/counsel to the company on all land and compliance related legal matters. Lead & deliver high quality assigned legal, contracts and compliance responsibilities, at both an operational and policy level by working meticulously with specialized knowledge & practical experience in these domains and experience of executing with Integrity. To ensure and protect the legal interest of the Company by ensuring proper management of litigation, minimizing risk involved in Contracts executed by the Company.

IndiaMART Logo

Sr. Manager - Financial Planning and Analysis

IndiaMART

Mumbai, Maharashtra, India

Posted: a year ago

We are hiring for a Sr. Manager - Financial Planning and Analysis role. The position involves managing financial planning, budgeting, and forecasting. You will be responsible for creating variance analysis reports and financial models, as well as leading real-time financial performance monitoring. Your key responsibilities also include analyzing financial information and providing recommendations to management, preparing periodic reports, managing stakeholders, and leading strategic planning and budgeting processes. Minimum 5 years of experience in financial planning and analysis is required, and an MBA from a top tier college is preferred.

Morgan Stanley Logo

2024 Compliance Summer Analyst Program (Mumbai)

Morgan Stanley

Mumbai, Maharashtra, India

Posted: a year ago

Join a legal and compliance internship program in Mumbai designed to develop professionals through training on policies, procedures, and live projects at Morgan Stanley. Responsibilities include creating reports, monitoring regulatory requirements, providing guidance to employees, conducting investigations, and handling legal documentation. We seek candidates with academic excellence, strong communication skills, attention to detail, and problem-solving abilities.