compliance manager

A C Agarwal Share Brokers Pvt. Ltd.

Job Title: Compliance ManagerA.C. Agarwal Share Brokers is an Indian stock broking company with 20+ years of experience in the capital markets. The company holds memberships of most of India's top stock exchanges and depositories, including NSE, BSE, MCX, and CDSL. With a team of 250+ authorized partners, AC Agarwal is committed to building growth and wealth creation at a national level.We are looking for a Compliance Manager to manage SEBI and Exchange Compliance for a Stock Broking firm. The role involves handling regulatory filings, responding to exchange queries, and ensuring timely compliance with SEBI, NSE, BSE, and Depository (CDSL/NSDL) guidelines.Responsibilities<ul><li>Handle SEBI, NSE, BSE, MCX, and Depository-related compliance.</li></ul>File periodic and event-based regulatory reports and returns. Manage audits and inspections..<ul><li>Ensure adherence to SEBI regulations, circulars, and exchange guidelines. Develop and update compliance policies and SOPs.</li></ul>Coordinate with exchanges, SEBI, and auditors for compliance queries. Maintain compliance records, reports, and documentation.<ul><li>Liaise with internal teams to address compliance gaps</li><li>Drive employee awareness and training on compliance matters.</li></ul>Requirements<ul><li>In depth knowledge of SEBI regulations, AML guidelines, and PMLA provisions.</li><li>2&ndash;5 years&rsquo; experience in SEBI or Exchange compliance with a Stock Broker.</li><li>Strong understanding of SEBI rules, Exchange regulations, and audit requirements.</li><li>Good communication, Excel, and documentation skills.</li></ul>Job Type: Full-timePay: ₹360,000.00 - ₹600,000.00 per yearBenefits:<ul><li>Paid time off</li><li>Provident Fund</li></ul>Work Location: In person

Compliance Manager

HK Advocates & Legal Consultancy

Compliance manager is needed in leading IT company in Cairo, Egypt, responsible for various functions that including:&middot; Establishing Company&rsquo;s Compliance Program and the implementation of the compliance policies, procedures defining Company&rsquo;s compliance framework.&middot; Overseeing management of Company&rsquo;s regulatory compliance risks in alignment with Company&rsquo;s Compliance Framework, guidelines developed by the Audit, Risk and Compliance Committee and applicable laws and regulations.&middot; Practicing oversight over Company&rsquo;s adherence to the regulatory requirements.&middot; Supporting the business in managing and mitigating the corporate ethics and compliance risks across Company including bribery and corruption; third party integrity; regulatory compliance; market abuse; antitrust and competition; and international trade controls and sanctions.&middot; Implements monitoring programs, drafts policies/procedures and delivers training/awareness programs.Candidates should possess certain skills:● Compliance Management.● Supervisory and coaching skills.● Performance management.● Conflict resolution and crisis management.● Critical and analytical thinking.● Communication skills, Report writing and presentation skills.● Local and regional expertise.● Local legal or regulatory knowledge.● Governance and ethical sensitivity.● Relationship management.● Problem identification and solution.● Investigations and ethical standards.Candidates seeking the position should have:● Bachelor&rsquo;s degree in Business Administration, Risk &amp; Compliance Management, Finance or any related field;● MBA or Postgraduate Degree in related field is advantageous;● Professional certifications(s) such as Certified Regulatory Compliance Manager (CRCM), Certified Risk Professional (CRP), Certified Information Privacy Professional, or Certified Internal Auditor (CIA), International Advanced Certificate in Regulatory Compliance, Advanced Certificate in Legal Compliance, Advanced Certificates in Due Diligence and Fraud, Certified Anti‐Money Laundering Specialist (ACAMS) are advantageous.● Minimum [7] years of relevant leadership and technical experience, with at least [3] years in a Head Compliance role or equivalent preferably at a listed company;● Experience in UAE or the Gulf countries is advantageous;● Experience is setting up Compliance Management Functions and implementing Compliance Management Frameworks and tools;● Experience in driving compliance and operational controls applicable to anti-money laundering, privacy, conflicts of interest, code of conduct, anti-corruption, anti-trust, records management etc.● Sound technical knowledge and expertise covering conduct of business matters, corporate governance matters and regulatory risk and regulatory change mattersJob Type: Full-time

Compliance manager is needed in leading IT company in Cairo, Egypt, responsible for various functions that including:<ul><li>Establishing Company&rsquo;s Compliance Program and the implementation of the compliance policies, procedures defining Company&rsquo;s compliance framework.</li><li>Overseeing management of Company&rsquo;s regulatory compliance risks in alignment with Company&rsquo;s Compliance Framework, guidelines developed by the Audit, Risk and Compliance Committee and applicable laws and regulations.</li><li>Practicing oversight over Company&rsquo;s adherence to the regulatory requirements.</li><li>Supporting the business in managing and mitigating the corporate ethics and compliance risks across Company including bribery and corruption; third party integrity; regulatory compliance; market abuse; antitrust and competition; and international trade controls and sanctions.</li><li>Implements monitoring programs, drafts policies/procedures and delivers training/awareness programs.</li></ul>Candidates should possess certain skills:● Compliance Management.● Supervisory and coaching skills.● Performance management.● Conflict resolution and crisis management.● Critical and analytical thinking.● Communication skills, Report writing and presentation skills.● Local and regional expertise.● Local legal or regulatory knowledge.● Governance and ethical sensitivity.● Relationship management.● Problem identification and solution.● Investigations and ethical standards.Candidates seeking the position should have:● Bachelor&rsquo;s degree in Business Administration, Risk &amp; Compliance Management, Finance or any related field;● MBA or Postgraduate Degree in related field is advantageous;● Professional certifications(s) such as Certified Regulatory Compliance Manager (CRCM), Certified Risk Professional (CRP), Certified Information Privacy Professional, or Certified Internal Auditor (CIA), International Advanced Certificate in Regulatory Compliance, Advanced Certificate in Legal Compliance, Advanced Certificates in Due Diligence and Fraud, Certified Anti‐Money Laundering Specialist (ACAMS) are advantageous.● Minimum [7] years of relevant leadership and technical experience, with at least [3] years in a Head Compliance role or equivalent preferably at a listed company;● Experience in UAE or the Gulf countries is advantageous;● Experience is setting up Compliance Management Functions and implementing Compliance Management Frameworks and tools;● Experience in driving compliance and operational controls applicable to anti-money laundering, privacy, conflicts of interest, code of conduct, anti-corruption, anti-trust, records management etc.● Sound technical knowledge and expertise covering conduct of business matters, corporate governance matters and regulatory risk and regulatory change mattersJob Type: Full-time

Compliance manager

Diamond Hands LLP (021 Trade)

Compliance Manager &ndash; Stock BrokingRole Overview: This is a leadership position for a compliance expert to build, own, and lead the compliance function at a fast-growing, technology-driven stock broking firm. You will design systems and processes from inception, champion automation, and develop a talented compliance team to proactively address the evolving regulatory landscape.Key Responsibilities Take ownership of the entire compliance function&mdash;design, develop, and implement policies, workflows, and systems, ensuring a robust compliance architecture from the ground up. Lead product management of compliance automation tools to reduce manual intervention in repetitive control and regulatory tasks. Maintain clear, concise, and effective communication with internal teams, external partners, and regulators for data needs, regulatory submissions, and reporting. Excel in a start-up environment&mdash;manage tight deadlines, shifting priorities, and ambiguous problem statements while maintaining regulatory discipline. Daily exchange fund/securities settlements, margin requirements, pay-in/pay-out procedures, and reconciliations in accordance with ICCL and other exchanges. Maintain strong industry networks to stay informed on SEBI and exchange circulars, amendments, and notifications; ensure timely implementation. Evaluate and oversee third-party vendors (back-office software, insurance, etc.) essential for fulfilling regulatory requirements. Prepare and guide for internal and external audits (IAR), regulatory inspections, and submission of required data and reports. Advanced operations handling CDSL DP System (EASIEST, CDAS), pledge creation for margins, reconciliations, and use of leading back-office software (Korp, Shilpi, LD, TechExcel etc.). Oversee KRA, CKYC, UCC uploads, and ensure timely and accurate onboarding. Ensure compliance with cybersecurity, insurance norms, and certificate submissions as required under half-yearly and periodic returns. Drafting of Standard Operating Procedures, Policy framework, Agreements/ Contracts with third-party vendors, distributors and service providers, Privacy Policies and Disclaimers etc.Required Experience &amp; Skills Experience: 8-12 years in broking compliance with proven track record in SEBI/Exchange regulations. Exchange Operations: Deep expertise in ICCL Fund settlements, margin &amp; pay-in/pay-out process. Regulatory Liaison: Established relationships with exchanges, depositories, and an active industry network. Systems Mastery: Proficiency in industry-leading back-office software and CDSL DP Systems (EASIEST/CDAS). Audit &amp; Reporting: Experience supporting audits, inspections, and regulatory submissions. Vendor Knowledge: Awareness of regulatory vendors for back-office/Cyber/Insurance. Regulatory Compliance: Mastery over SEBI, BSE/NSE, CDSL/NSDL regulations and circulars. Certifications: Mandatory NISM 3A (Compliance), additional NISM modules for Cash, F&amp;O, Currency, Commodities strongly preferred. Leadership: Demonstrated ability to lead teams and contribute strategically.Preferred Attributes Excellent analytical, problem-solving, and interpersonal skills. Strong initiative, ownership mentality, and decision-making abilities. Ability to thrive in high-pressure, deadline-driven, and dynamic start-up settings.Job Types: Full-time, PermanentPay: ₹2,000,000.00 - ₹2,500,000.00 per yearBenefits:<ul><li>Health insurance</li><li>Paid sick time</li><li>Paid time off</li><li>Provident Fund</li></ul>Experience:<ul><li>Compliance management: 6 years (Required)</li></ul>Work Location: In person

الشركة السعودية لحقوق الملكية الفكرية

Entity: Saudi Intellectual Property Rights Company Experience: Minimum 2 Years Education: Bachelor's degree in law, Business Administration, or a related field. Job PurposeThis role is specifically dedicated to managing the Licensing Compliance Services provided to the clients of our master copyright holder. The manager ensures that all licensees (third parties) strictly adhere to the contractual terms and legal frameworks of the granted copyright, protecting the owner&rsquo;s rights and ensuring sustainable revenue/usage compliance.Key Responsibilities<ul><li>Licensee Compliance Oversight: Manage and monitor the compliance of the master client&rsquo;s customers (licenses) regarding their usage of copyrighted material.</li><li>Legal &amp; Technical Drafting: Draft official compliance reports, breach notices, and formal memos. Formulate legal arguments and responses to objections raised by licensees.</li><li>Gap Analysis &amp; Risk Assessment: Perform IP audits to identify unlicensed usage or potential risks in current licensing structures and propose optimization strategies.</li><li>Advisory &amp; Strategy: Align licensing strategies with the master client&rsquo;s business objectives to maximize the value and growth of the copyright portfolio.</li><li>Renewals &amp; Filing Management: Oversee the timely filing and maintenance of licenses, ensuring compliance with Saudi and international regulations.</li></ul>Requirements<ul><li>Experience: Minimum of 2 years of professional experience in licensing, contract management, or IP compliance.</li><li>Languages: Professional fluency in Arabic and English.</li><li>Technical Skills: * Deep understanding of Saudi Copyright Law and licensing frameworks.</li><li>Proficiency in managing portfolios and using IP management systems.</li></ul>Key Performance Indicators (KPIs)<ul><li>Compliance Rate: Percentage of licensees successfully adhering to contract terms.</li><li>Resolution Efficiency: Time taken to resolve licensing breaches or unauthorized usage.</li><li>Audit Accuracy: Precision in identifying gaps or unlicensed assets within the client's network.</li></ul>Job Type: Full-time

Licensing Compliance Manager

D ASPIRE

Job Title: HR Compliance Officer / HR Compliance ExecutiveDepartment: Human Resources Reports To: HR Manager / Head HR Location: NashikJob SummaryThe HR Compliance Officer is responsible for ensuring the organization&rsquo;s adherence to all applicable labor laws, statutory requirements, and HR policies. The role involves managing statutory compliances, audits, documentation, and coordination with internal teams and external authorities to maintain legal and regulatory compliance.Key Responsibilities Statutory &amp; Legal Compliance<ul><li>Ensure compliance with labor laws such as PF, ESIC, PT, Gratuity, Bonus, Minimum Wages, Shops &amp; Establishment Act, Factory Act</li><li>Monitor changes in labor laws and update policies accordingly</li><li>Coordinate with consultants, labor officers, and statutory authorities</li><li>Handle labor inspections, notices, and legal documentation</li></ul>Payroll &amp; Statutory Filings<ul><li>Ensure accurate and timely PF, ESIC, PT, TDS, LWF filings</li><li>Verify payroll compliance with statutory norms</li><li>Maintain statutory registers and returns</li></ul>HR Audits &amp; Documentation<ul><li>Conduct internal HR compliance audits</li><li>Maintain employee records, contracts, and statutory documents</li><li>Support external audits and certifications</li><li>Prepare compliance reports and MIS</li></ul>Policy Implementation<ul><li>Draft, implement, and monitor HR policies and SOPs</li><li>Ensure disciplinary procedures follow legal frameworks</li><li>Support grievance handling and disciplinary actions</li></ul>Vendor &amp; Contractor Compliance<ul><li>Ensure compliance for contractors and third-party manpower</li><li>Verify license, wage registers, and statutory payments of vendors</li><li>Ensure compliance under CLRA Act</li></ul>Qualifications<ul><li>Graduate/Postgraduate in HR, Law, or Industrial Relations</li><li>Certification in labor laws or compliance preferred</li></ul>Experience<ul><li>2&ndash;6 years of experience in HR compliance / statutory role</li><li>Experience in manufacturing, construction, or consultancy preferred</li></ul>Skills &amp; Competencies<ul><li>Strong knowledge of Indian labor laws</li><li>Attention to detail and documentation accuracy</li><li>Audit handling and statutory coordination</li><li>Communication and stakeholder management</li><li>MS Excel &amp; HRMS proficiency</li></ul>Key Compliance Areas<ul><li>PF, ESIC, PT, LWF</li><li>Shops &amp; Establishment / Factory Act</li><li>Bonus, Gratuity, Leave &amp; Wage compliance</li><li>Contractor &amp; labor compliance</li></ul>KPIs<ul><li>Zero compliance lapses or penalties</li><li>Timely statutory filings</li><li>Successful audit outcomes</li><li>Accurate documentation &amp; reporting</li></ul>Job Types: Full-time, PermanentPay: ₹35,000.00 - ₹45,000.00 per monthBenefits:<ul><li>Paid sick time</li><li>Provident Fund</li></ul>Work Location: In person

HR & Compliance Manager

Marriott International

<div>Additional Information 
Job Number26014836 
Job CategoryFinance &amp; Accounting 
LocationThe Ritz-Carlton Bangalore, 99 Residency Road, Bengaluru, Karnataka, India, 560 025 
ScheduleFull Time 
Located Remotely?N 
Position Type Management 
<div><div>JOB SUMMARY 
Supports the day-to-day execution of general ledger impacted processes, including support to clients as they work with and understand these processes. Performs accounting functions specifically in the areas of account balancing, ledger reconciliation, reporting and discrepancy resolution. 
CANDIDATE PROFILE 
Education and Experience
<ul><li>4-year bachelor's degree in Finance and Accounting or related major; no work experience required.</li></ul>
OR
<ul><li>2-year degree from an accredited university in Finance and Accounting or related major; 1 year experience in finance and accounting or related professional area.</li></ul> 
CORE WORK ACTIVITIES 
Managing Work, Projects, and Policies
<ul><li>Coordinates and implements accounting work and projects as assigned.</li></ul>
<ul><li>Coordinates, implements and follows up on Accounting SOP audits for all areas of the property.</li></ul>
<ul><li>Complies with Federal and State laws applying to fraud and collection procedures.</li></ul>
<ul><li>Generates and provides accurate and timely results in the form of reports, presentations, etc.</li></ul>
<ul><li>Analyzes information and evaluates results to choose the best solution and solve problems.</li></ul>
<ul><li>Compiles, codes, categorizes, calculates, tabulates, audits, or verifies information or data.</li></ul>
<ul><li>Balances credit card ledgers.</li></ul>
<ul><li>Verifies contracts for groups and performs credit reference checks for direct billed groups if necessary.</li></ul> 
Maintaining Finance and Accounting Goals
<ul><li>Achieves and exceeds goals including performance goals, budget goals, team goals, etc.</li></ul>
<ul><li>Develops specific goals and plans to prioritize, organize, and accomplish your work.</li></ul>
<ul><li>Submits reports in a timely manner, ensuring delivery deadlines.</li></ul>
<ul><li>Ensures profits and losses are documented accurately.</li></ul>
<ul><li>Monitors all taxes that apply, ensuring that taxes are current, collected and/or accrued.</li></ul>
<ul><li>Maintains a strong accounting and operational control environment to safeguard assets.</li></ul>
<ul><li>Completes period end function each period.</li></ul>
<ul><li>Provide direction and assistance to other organizational units regarding accounting and budgeting policies and procedures, and efficient control and utilization of financial resources.</li></ul> 
Demonstrating and Applying Accounting Knowledge
<ul><li>Demonstrates knowledge of job-relevant issues, products, systems, and processes.</li></ul>
<ul><li>Demonstrates knowledge of return check procedures.</li></ul>
<ul><li>Demonstrates knowledge of the Gross Revenue Report.</li></ul>
<ul><li>Demonstrates knowledge and proficiency with write off procedures.</li></ul>
<ul><li>Demonstrates knowledge and proficiency with consolidated deposit procedures.</li></ul>
<ul><li>Keeps up-to-date technically and applying new knowledge to your job.</li></ul>
<ul><li>Uses computers and computer systems (including hardware and software) to program, develop financial spreadsheets, set up functions, enter data, or process information.</li></ul>
<ul><li>Uses relevant information and individual judgment to determine whether events or processes comply with laws, regulations, or standards.</li></ul> 
Additional Responsibilities
<ul><li>Provides information to supervisors and co-workers by telephone, in written form, e-mail, or in person.</li></ul>
<ul><li>Demonstrates personal integrity.</li></ul>
<ul><li>Uses effective listening skills.</li></ul>
<ul><li>Demonstrates self confidence, energy and enthusiasm.</li></ul>
<ul><li>Manages group or interpersonal conflict effectively.</li></ul>
<ul><li>Informs and/or updates the executives and the peers on relevant information in a timely manner.</li></ul>
<ul><li>Manages time well and possesses strong organizational skills.</li></ul>
<ul><li>Presents ideas, expectations and information in a concise well organized way.</li></ul>
<ul><li>Uses problem solving methodology for decision making and follow up.</li></ul>
<ul><li>Makes collections calls if necessary.</li></ul></div><div> 
</div>At Marriott International, we are dedicated to being an equal opportunity employer, welcoming all and providing access to opportunity. We actively foster an environment where the unique backgrounds of our associates are valued and celebrated. Our greatest strength lies in the rich blend of culture, talent, and experiences of our associates. We are committed to non-discrimination on any protected basis, including disability, veteran status, or other basis protected by applicable law.
At more than 100 award-winning properties worldwide, The Ritz-Carlton Ladies and Gentlemen create experiences so exceptional that long after a guest stays with us, the experience stays with them. Attracting the world&rsquo;s top hospitality professionals who curate lifelong memories, we believe that everyone succeeds when they are empowered to be creative, thoughtful and compassionate. 
<div>
 
Every day, we set the standard for rare and special luxury service the world over and pride ourselves on delivering excellence in the care and comfort of our guests.</div><div>
 
Your role will be to ensure that the &ldquo;Gold Standards&rdquo; of The Ritz-Carlton are delivered graciously and thoughtfully every day. The Gold Standards are the foundation of The Ritz-Carlton and are what guides us each day to be better than the next. It is this foundation and our belief that our culture drives success by which The Ritz Carlton has earned the reputation as a global brand leader in luxury hospitality. As part of our team, you will learn and exemplify the Gold Standards, such as our Employee Promise, Credo and our Service Values. And our promise to you is that we offer the chance to be proud of the work you do and who you work with.</div><div>
 
In joining The Ritz-Carlton, you join a portfolio of brands with Marriott International. Be where you can do your best work, begin your purpose, belong to an amazing global team, and become the best version of you.</div></div></div>

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