14+ Compliance Jobs in Mumbai | Compliance Job openings in Mumbai

Designation: Financial Manager 

• Exp: 8-10 Years
• CTC: up tp 30 LPA

Regulatory, Contractual & US Healthcare compliances:

• Ensure compliance to HIPAA & Hi-Tech requirements framework through audits, policy updates, external certifications, internal awareness, etc.
• Periodically update policies and document new procedures / guidelines to update the compliance plan in line with operating changes.
• Work with legal & training teams to drive the compliance programs for awareness and update of important US healthcare regulations as applicable to business.
• Work with VP, Finance, HR & Legal team across all locations to consolidate & present the compliance to regulatory requirements periodically to LT and Audit Committee.
• Update the customer contractual checklists and monitor compliance to same through periodic reviews
• Train the team on compliance programs to deliver standard compliance experience across the locations.
• Enterprise risk management (ERM), Management reviews, Investigations & Internal Audits

Cab Boundary line- 

• Navi Mumbai to Ghatkopar
• Navi Mumbai to Panvel (Ulwe not covered)
• Navi Mumbai to Kalyan

Job Purpose:

The role entails the responsibility to be a part of IT Governance and Compliance Team of the bank and would be working towards GRC control function: Compliance & Regulatory reporting viz Cyber KRI, TRANCHE, ICAAP etc.

Roles & Responsibilities:

• Custodian of IT governance and IT process governance framework.
• Handling of Regulatory audits and submissions.
• To understand Indents from regulators, collated, review the data and timely submission.
• Responsible for IT policy creation, review, update, awareness, and monitoring.
• Administration of key IT processes: E.g., incident management, policy exception management
• Will be reporting to Lead IT Governance.
• Identify improvements and breakdowns in IT governance elements with significant business impact.
• Create and maintain library of governance artifacts and other supporting documentation.
• Proactively identify and manage risks/issues, ensure proper visibility and communication occur to senior management.
• Ensures compliance with all policies and procedures in the execution of technology projects.
• Provide guidance and trainings to Project team members in the field regarding IT governance.
• Capture and share best- practice knowledge amongst the team.
• Create an environment that promotes collaborative learning and collective ownership of responsibilities.
• Strong analytical and problem-solving skills. Excellent communication and interpersonal abilities.
• Ability to work independently and collaborate effectively in a team environment.

Education Qualification (Fulltime): 

Certified Chartered Accountant (CA)

TITLE: Compliance Officer (Minimum Qualification - Company Secretary)

LOCATION: Mumbai 400052

JOB SUMMARY:

We are searching for a motivated and experienced compliance officer to guarantee that our business processes and transactions follow all relevant legal and. internal guidelines.

ROLES AND RESPONSIBILITIES:

· Responsible for company affairs.

· Represent the company in legal matters.

· Provide legal and compliance perspectives to the business.

· Managing compliance aspects.

· Information memorandum.

· SEBI / BSE / NSE guidelines.

· Company law issuance.

· Compliance management.

· Periodic submission to the broking and DP compliance and operation team.

· Handle SCORES (Sebi Complaints Redress System) for SMEST Capital Pvt. Ltd.

· Manage Financial Intelligence Unit (FIU)

· Keep a clean check and updates on the SEBI KYC Registration Agency (KRA).

REQUIREMENTS:

· Any Company Secretary with a minimum 1 year of experience as Compliance.

· Freshers also can apply

COMPANY PROFILE:

SMEST Capital, is a fintech to provide solutions in the wealth management space through the use of technology as a medium. We are engaged in business of providing financial services. We are registered as stockbrokers in the New Debt Segment of BSE Limited.

WHY SMEST Capital ??? :

· Salary at par with industry standards.

· Employee oriented salary structure

· Probable onsite opportunities.

· Opportunity to learn and grow up at the same time.

· Located in the midst of Khar-Bandra, The heart of Mumbai

Job Type: Full-time

Synopsis:

We are seeking a detail-oriented Payroll Executive to oversee all aspects of payroll management and processing within our organization. The ideal candidate will have strong knowledge and experience in payroll processing, familiarity with the Tally environment, and expertise in statutory compliance including PF, ESIC, PTAX, and other relevant regulations. The Payroll Executive will be responsible for ensuring accurate and timely payroll processing, adherence to statutory requirements, and maintaining comprehensive records.

A Day in Your Life:

● Manage end-to-end payroll processing, including salary calculation and deductions.

● Ensure compliance with PF, ESIC, PTAX, and other statutory regulations.

● Utilize Tally software for payroll processing and reconciliation.

● Prepare and submit monthly/yearly returns and challans.

● Maintain accurate records and assist in financial statement preparation.

The VP of HR for our private security agency will be responsible for leading all aspects of the human resources function within the organization except Talent Acquisition. This includes strategic planning, policy development, Behavioural training, performance management, employee relations, and nuances of culture. The ideal candidate will have extensive experience in HR management, preferably within the security industry, and possess strong leadership and interpersonal skills.

Key Responsibilities:

Strategic HR Planning:

Develop and implement HR strategies aligned with the overall objectives of the organization.

Identify and anticipate HR-related needs and challenges, and provide proactive solutions.

HR Operations:

Timely and accurate Payroll for Staff

Handling entire life-cycle of staff – Maintaining personal files, Confirmations, Exits, F&F Settlements

Compensation & Benefits – Periodical review of structure and Matrix

Employee Benefits, viz., Group Mediclaim, Group Personal Accident, Group Gratuity

Policy Development and Implementation:

Establish HR policies and procedures that comply with relevant laws and regulations.

Ensure consistent enforcement and adherence to policies throughout the organization.

Training and Development:

Design and implement behavioural training programs as and when required

Provide leadership development opportunities to support career growth and succession planning.

Performance Management:

Develop performance management system to evaluate employee performance and provide feedback.

Implement processes for goal setting, regular performance reviews, and R&R programs.

Allocate resources to meet HR objectives and priorities.

Employee Relations:

Positive approach to employee relations issues, grievances handling, and conflicts resolution.

Handling Disciplinary procedures

Promote a positive work culture and foster employee engagement and morale.

Compliance and Legal Matters:

Ensure compliance with labour laws, regulations, and industry standards.

Stay abreast of changes in legislation and update HR policies accordingly.

Reporting and Analytics:

Prepare regular reports on HR metrics and key performance indicators.

Analyse data to identify trends and areas for improvement.

Job Specification:

Bachelor's degree and in addition PG degree in HR is preferred

Proven experience of minimum 15+ years in HR management preferably within the manpower industry.

Strong knowledge of HR best practices, employment law, and regulatory compliance.

Excellent leadership, communication, and interpersonal skills.

The main objective – 

• Manage and undertake onsite audits at Mumbai HO, Branch audits at locations and Special reviews
• Execution of audit assignments as per the scope and ensuring meeting of audit Deadlines
• Assist in developing Risk Based Annual Internal Audit Plan

QUALIFICATIONS & EXPERIENCE: -

1. Should be a graduate, preferably a Chartered Accountant (CA) or Inter CA with at least 1 to 4 years of post-qualification experience in NBFC Sector.
2. Should be aware of NBFC Regulations.
3. Skilled in data analysis on excel and hands on experience in preparing power point presentations.
4. Knowledge of and skill in applying internal auditing principles and practices, management principles and preferred business practices

COMPETENCIES

• Considerable skill in negotiating issues and resolving problems.
• Excellent command over oral and written English
• Considerable skill in effective verbal and written communications, including active listening skills and skills in verbal and written presentations to the management Independent and logical thinking.
• Good analytical skill and drawing logical conclusions. 

We are the Country's leading Private Security Agency and Facility Management Company, having 75 branches and a manpower of around 40000 across!

Candidate must have:

1. Good knowledge of various labour laws

2. Registers and documents to be maintained under Acts

3. Must have handled labour audits

4. Working knowledge of handling Simpliance, ComplyHR, Teamlease, Ascent HR will be added advantage

5. Should respect timelines and meet deadlines

6. Must have 5-6 years of relevant experience

7. Minimum a Graduate

About the Company:

Our client is a leading mid‐market investment bank with strong practices around M&A, PE, Capital Markets, Institutional Equities, Wealth Management, Insurance Broking, and Portfolio Management Services. A trusted Investment bank servicing customers with the best results in advisory in their investments, the best corporates for their growth & capital need, and families in managing their wealth. Led by seasoned bankers, our client works with the largest and the most reputed investors.

Location: Mumbai

Roles and Responsibilities:

• Impanel distributors to sell the investment management schemes

• Generate sales as per targets laid down through a judicious mix of external channel partners, internal sales channels, and direct clients, as outlined

• Handling channel and client queries

Strategy Planning:

• Achieve set targets through a designed strategy

• Keep monitoring & review strategy on an ongoing basis

• Internal Coordination:

• Liaising with senior management to arrive at clear objectives for the department

Resource planning:

• Liaising with investment teams to enable client interaction & information

• Liaising with operations and ensuring smooth functioning between the department & operations

• Ensure proper compliance with respect to all channel partners – distributors/clients etc.

Compliance:

• Ensure all activities are as per proper compliance internally and as per regulatory requirements

• Ensure all distributor agreements/client documentation has met all regulatory & compliance requirements on an ongoing basis

Requirements:

• Graduate

• Great command over English & Regional Language

• Experience 2 – 5 years

Our Client is a technology based luxury home design company that is committed to creating unique and personalized spaces for our clients. They are into interior designing for HNI clients for their luxury designing needs.

About the role:

• Planning, Budgeting and Forecasting
• Assist the Head Finance in overseeing the company's fiscal activities including planning, budgeting, and financial forecasting.
• Working closely with Sales/Operations/Supply Chain team to ensure delivery of agreed budget.
• To work with Business team in evaluation of monthly financial result, identify the reason for lower performance and work for corrective actions.
• Meet accounting financial objectives by assisting Finance Head in forecasting requirements, preparing an annual budget, scheduling expenditures, analyzing variances, and initiating corrective actions.
• Statutory Compliances
• Ensure timely compliance with all statutory and regulatory authorities including ROC compliances.
• Avoid legal challenges by understanding current and proposed legislation, assisting Finance Head in enforcing accounting regulations, and recommending new procedures
• Checking the bills to comply with local stipulations of finance, tax and relevant legal provisions.
• Monitoring GST Returns - GSTR 1, GSTR 3B and Annual return in 9/9C; reconciliation of Input Tax Credit in books of accounts with GSTR 2A and Electronic Credit Ledger
• Monitoring TDS compliance, deduction and monthly payment, preparation and submission of TDS returns
• Financial Reporting
• Assist and monitor day to day accounting (including accounts payable and accounts receivable)
• Ensure hygiene of accounting processes.
• Reconcile Account Receivable & Accounts Payable including ageing analysis.
• Confirm financial status by monitoring revenue and expenses; coordinating the collection, consolidation, and evaluation of financial data; and preparing reports as required by management.
• Prepare various month/quarterly/annual reconciliations.
• Support in Audit completion - Statutory Audit and Internal Audit; submission of data related requirement & co-ordination with auditors

Requirements

• CA with 3+ years of experience
• Excellent Microsoft Office skills
• Excellent organization skills: ability to plan and organize work so that it is efficient and effective
• Experience in GST filing, TDS filing, and other statutory compliance are recommendatory.
• Experience in Startup is an added advantage.
• Strong analytical skills, communications and presentation skills are required.
• Attention to details and drawing conclusions from large data are critical capabilities.

About Apollo Finvest

Apollo Finvest is a publicly listed Non-Banking Financial Company (NBFC). Think of us as AWS for Lending. We enable any company to offer fully digital and compliant digital loan products to their end customers. Built on modern RestFUL API's, we treat the financial services on our platform as building blocks, which our partners can mix and match to create loan products specifically tailored to their business model.

Company Secretary

Roles and Responsibilities:

• Experience of filing quarterly, half-yearly and annual compliances as per SEBI Listing Regulations and SAST Regulations
• Timely compliance of all the applicable provisions of SEBI Regulations, Companies Act, 2013, RBI Master Directions, Notifications, Circulars and Secretarial Standards
• Convening Annual General Meeting (AGM) including preparing the Annual Report, Notice, Directors’ Report, and all other compliances related to the AGM
• Preparation of Notice, Agenda, Resolutions, Minutes for the Board Meeting, and other Committee Meetings.
• Preparation of all the ROC Forms including the Annual Filing forms as per the Companies Act, 2013
• Filing of quarterly and annual forms/ returns with RBI.
• Maintenance of various Statutory Registers
• Liaising with various statutory authorities such as SEBI, BSE, NSDL/CDSL, RBI, etc.
• Keeping up to date with any regulatory or statutory changes and policies that might affect the organization
• Co-ordination with the Registrar & Share Transfer Agent for all the shareholder matters.
• Handling investor and borrowers' complaints on all the respective forums under different authorities and timely resolving the same.

Key Requirements:

• 1-2 years of experience post qualification
• Good written and verbal communication skills
• Candidates in a Compliance Manager role at NBFC / Banks having experience in handling regulatory compliance, RBI audits, etc. would be preferred.
• Strong Accounting Background, Strong Leadership quality, Adherence to timelines and highly proactive.
• Excellent Knowledge of Microsoft Excel.
• Ability to effectively prioritize work by understanding competing priorities and work under high-pressure environments.

Apply to this link only - https://loginext.hire.trakstar.com/jobs/fk0qu5u?source=" target="_blank">https://loginext.hire.trakstar.com/jobs/fk0qu5u?source=

LogiNext is a cloud-based logistics and field service optimization company with core expertise in automated delivery scheduling, route optimization, live tracking of resources, and delivery validation. Using advanced machine learning algorithms, LogiNext enables its clients with omnichannel capabilities creating a seamless delivery experience for all the customers. Using automated delivery automation and dispatch for increased efficiency, route optimization to avoid local traffic hassles, live tracking of resources for operative responsiveness, and delivery validation for complete transparency, LogiNext helps companies process same-day and even two-hour deliveries.

LogiNext has more than 200 enterprise clients including many satisfied retail and e-commerce players in North America, Middle-East, South and Southeast Asia. It has also been heralded by multiple platforms as being one of the fastest growing SaaS companies in the world.

The true growth hackers, who paved the way for this success are the people working exceptionally hard and adding value to our organisation. Our brand ambassadors - that's how we address our people, bring unique values, discipline and problem-solving skills to nurture the innovative and entrepreneurial work culture at LogiNext. Passion, versatility, expertise and a hunger for success is the Mantra chanted by every Logi-Nexter!

About the Role:

LogiNext is looking for a dynamic and competent professional to manage the efficient execution of payroll administration services in compliance with legal requirements and LogiNext policies and procedures The work at LogiNext is very fast paced, agile, and hence, you must be able to multitask to deal smoothly with competing levels of priority.

Responsibilities

Ensure delivery of payroll processing, operational aspects of payroll processing and associated activities that are accurately carried out on a month on month basis within appropriate timeframes along with maintaining a Master (database) Prepare payroll documentation as directed and process the preparation and filing of required reports and/or payments to government agencies Process new joiners and leavers payroll accurately in accordance with state rules and statutes Act as a point of contact for smooth functioning and addressing the issues related to the payroll management Maintain records relating to peoples pay and statutory reports which are conversant with the relevant statutes and payroll regulations. Collaborate with Finance to ensure all payments are made Support all internal and external audits related to payroll Prepare detailed variance analysis and reports prior to the payroll cycle for all types of pay-outs - statutory returns and ensure compliance to all monthly, quarterly and annual payments and returns. Generates reports for reconciliation and analysis Post payroll transaction, ensure appropriate monthly reconciliations per the payroll calendar Protect the confidentiality of payroll data

Requirements

Bachelor’s Degree in Finance/Commerce or related field 2 to 3 years of relevant experience in payroll administration Proficiency in Microsoft Office and payroll software programs Strong numerical aptitude and attention to detail Excellent communication skills, both verbal and written Good time management and organizational skills Working knowledge of Indian Taxes (TDS), ESI, PF, PT, Gratuity and other critical payroll statutes