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compliance officer

Muthoot Finance

<div><div><div><div><h3 class="jobSectionHeader"><b>Compliance Officer</b></h3>
</div></div></div><div></div><h3 class="jobSectionHeader"><b>highlights
</b></h3><div></div><ul><li>Designation : Compliance Officer</li>
<li>Location : Trivandrum</li>
<li>Salary : Best in industry</li>
<li>E-mail : hr@muthootenterprises.com</li>
<li>Closing Date : 29 January 2026</li>
<li>Posted On : 23 December 2025</li>
</ul><h3 class="jobSectionHeader"><b>Description
</b></h3><div></div><p>2-3 years of experience in NBFC Strong knowledge of banking/NBFC products and RBI norms Qualification: Company Secretary (CS) &ndash; Mandatory Hands-on experience in regulatory compliance and secretarial functions.</p>
<h3 class="jobSectionHeader"><b>Skills
</b></h3><div></div><p>Strong knowledge of banking/NBFC products</p></div>

Compliance Officer

sunrise gilts and securities

<p><b>We&rsquo;re Hiring: Compliance Officer &ndash; Ahmedabad </b></p><p><b>Sunrise Gilts &amp; Securities Pvt. Ltd.</b></p><p>In a world where markets rise and fall like ancient rhythms, we&rsquo;re looking for someone who stands steady &mdash; a guardian of integrity, a keeper of rules, a voice of discipline when the day feels loud.</p><p><b>Role: Compliance Officer</b></p><p><b>Location:</b> Ahmedabad<br/><b>Experience:</b> 2&ndash;5 Years<br/><b>Industry:</b> Stock Broking / Securities</p><p><b>What You&rsquo;ll Be Owning</b></p><ul><li>Ensuring day-to-day compliance with SEBI, NSE, BSE, CDSL &amp; regulatory frameworks</li><li>Handling audits, inspections &amp; timely submissions of reports</li><li>Reviewing internal processes and strengthening compliance controls</li><li>Monitoring trades, risk flags, discrepancies &amp; regulatory alerts</li><li>Managing KYC / AML checks &amp; ensuring documentation accuracy</li><li>Supporting management with compliance updates, circulars &amp; interpretations</li><li>Maintaining registers, documentation &amp; statutory records</li></ul><p><b>What You Bring</b></p><ul><li>2&ndash;5 years of solid experience in compliance within Stock Market / Broking</li><li>Strong understanding of regulatory guidelines</li><li>Detail-oriented mindset with traditional discipline</li><li>Ability to maintain calm and clarity in fast-moving market environments</li><li>Excellent communication and documentation skills</li></ul><p>Job Type: Full-time</p><p>Pay: &#8377;20,000.00 - &#8377;50,000.00 per month</p><p>Work Location: In person</p>

TIRUMALA GROUPS OF COMPANIES

<p>Position: Compliance Officer</p><p>Location: Hadapsar, Pune</p><p>Gender: Male candidate preferred</p><p>Salary Range: Rs. 30,000/- to 35,000/-</p><p>Experience: 3 to 7 years</p><p>Key Responsibilities:</p><p>Manage all compliance with respect to Payroll i.e. PF / ESI / PT / WC / LWF etc</p><p>Candidate should have knowledge of Insurance claims such as ESI /PF/WC etc</p><p>Liasoning skills</p><p>Job Type: Full-time</p><p>Pay: ₹30,000.00 - ₹35,000.00 per month</p><p>Work Location: In person</p><p>Job Type: Full-time</p><p>Pay: ₹30,000.00 - ₹35,000.00 per month</p><p>Work Location: In person</p>

Finology Ventures Pvt Ltd

<p><b>Experience:</b> 2&ndash;3 Years<b>Qualification:</b> Company Secretary preferred | Lawyer acceptable</p><p><b>Role Summary</b></p><p>We are hiring a Compliance Officer to handle SEBI-related compliance and general regulatory requirements. The role involves coordination with regulators, internal teams, and periodic visits to different offices.</p><p><b>Key Responsibilities</b></p><ul><li>Ensure SEBI compliance and related filings</li><li>Manage general statutory and regulatory compliance</li><li>Maintain compliance records and documentation</li><li>Coordinate with regulators, auditors, and consultants</li><li>Track compliance timelines and ensure timely reporting</li><li>Visit offices and external locations as required</li></ul><p><b>Eligibility</b></p><ul><li>CS preferred; LLB candidates may apply</li><li>2&ndash;3 years of overall compliance or legal experience</li><li>SEBI compliance experience not mandatory</li><li>Strong documentation and coordination skills</li></ul><p>Job Type: Full-time</p><p>Pay: ₹300,000.00 - ₹500,000.00 per year</p><p>Benefits:</p><ul><li>Paid sick time</li></ul><p>Work Location: In person</p>

Austral International Co.

<p><b>Job Description: Compliance Officer</b></p><p><b>Location: </b>Marol, Andheri Mumbai<br/><b>Industry:</b> Asset Management<br/><b>Employment Type:</b> Full-time<br/><b>Experience Level:</b> 8-10 Years</p><p><b>About the Role</b></p><p>We are seeking an experienced and strategic Compliance Officer to join our asset management firm in Mumbai. This senior role requires a seasoned professional who can independently manage our compliance function, provide strategic guidance to leadership, and ensure robust adherence to regulatory requirements while enabling business growth.</p><p><b>Key Responsibilities</b></p><p><b>Strategic Compliance Leadership</b></p><ul><li>Lead the compliance function and serve as the primary compliance advisor to senior management and the board</li><li>Develop and implement comprehensive compliance strategies aligned with business objectives and regulatory expectations</li><li>Build and maintain strong relationships with SEBI, RBI, and other regulatory authorities</li></ul><p><b>Regulatory Compliance &amp; Risk Management</b></p><ul><li>Ensure full compliance with SEBI regulations including SEBI (Portfolio Managers) Regulations, SEBI (AIF) Regulations, and other applicable guidelines</li><li>Proactively monitor and interpret regulatory changes and assess their impact on business operations</li><li>Design and oversee implementation of enterprise-wide compliance frameworks and controls</li><li>Conduct comprehensive compliance risk assessments and develop mitigation strategies</li><li>Oversee compliance programs and ensure robust KYC processes</li></ul><p><b>Governance &amp; Policy Framework</b></p><ul><li>Establish, review, and enhance compliance policies, procedures, and governance frameworks</li><li>Lead compliance committee meetings and provide expert guidance on complex compliance matters</li><li>Develop and maintain compliance manuals, SOPs, and code of conduct</li><li>Ensure effective implementation of compliance culture across the organization</li></ul><p><b>Regulatory Reporting &amp; Liaison</b></p><ul><li>Oversee preparation and timely submission of all regulatory filings, returns, and disclosures</li><li>Manage regulatory inspections, examinations, and audits</li><li>Serve as primary point of contact for regulatory authorities and external auditors</li><li>Provide comprehensive compliance reports and presentations to board and senior management</li></ul><p><b>Training &amp; Advisory</b></p><ul><li>Design and conduct compliance training programs for employees, including senior management</li><li>Provide expert compliance advice on complex transactions, conflicts of interest, and ethical matters</li><li>Mentor junior compliance team members and build compliance capabilities within the organization</li><li>Stay ahead of industry best practices and emerging compliance trends</li></ul><p><b>Investigation &amp; Remediation</b></p><ul><li>Lead investigations into compliance breaches, suspicious activities, and internal violations</li><li>Develop and implement corrective action plans for compliance gaps</li><li>Maintain incident management systems and ensure timely resolution of issues</li><li>Monitor effectiveness of remediation measures</li></ul><p><b>Required Qualifications</b></p><p><b>Education &amp; Certification</b></p><ul><li>Bachelor's degree in Law, Commerce, Finance, or related field (Master's degree) Professional certifications such as CS (Company Secretary), NISM Series VIII (Compliance Officer), CAMS (Certified Anti-Money Laundering Specialist), or equivalent are mandatory</li><li>Additional certifications like CFA, FRM, or specialized compliance qualifications are an advantage</li></ul><p><b>Experience</b></p><ul><li>8-10 years of progressive compliance experience in asset management, mutual funds, portfolio management services, or financial services sector</li><li>Demonstrated experience in managing regulatory inspections and interactions with SEBI/RBI</li><li>Proven track record of building and managing compliance frameworks from the ground up</li><li>Experience in handling complex compliance matters and providing strategic guidance to leadership</li></ul><p><b>Technical Knowledge</b></p><ul><li>In-depth knowledge of SEBI regulations, securities laws, and asset management compliance requirements</li><li>Familiarity with global compliance standards and best practices</li><li>Knowledge of fund structures AIFs, PMSs) and their regulatory frameworks</li></ul><p><b>Skills &amp; Competencies</b></p><ul><li>Strategic thinking with ability to balance compliance requirements and business needs</li><li>Exceptional analytical, problem-solving, and decision-making abilities</li><li>Strong leadership and stakeholder management skills</li><li>Excellent written and verbal communication skills for regulatory correspondence and presentations</li><li>Ability to work under pressure and manage multiple complex projects simultaneously</li><li>High ethical standards and integrity</li><li>Proficiency in compliance management systems and regulatory reporting platforms</li></ul><p><b>What We Offer</b></p><ul><li>5 days working</li><li>Leadership role with significant organizational impact</li><li>Performance-based bonuses and long-term incentives</li><li>Comprehensive health insurance and wellness benefits</li><li>Professional development and continuous learning opportunities</li></ul><p>Job Types: Full-time, Permanent</p><p>Pay: ₹1,800,000.00 - ₹2,200,000.00 per year</p><p>Benefits:</p><ul><li>Health insurance</li><li>Leave encashment</li><li>Life insurance</li><li>Provident Fund</li></ul><p>Application Question(s):</p><ul><li>How many years of experience you have in asset management, mutual funds, portfolio management services, or financial services sector?</li><li>Where do you stay ?</li><li>Do you have Knowledge of fund structures AIFs, PMSs and their regulatory frameworks?</li></ul><p>Work Location: In person</p>

VMPL

<p>Looking for a highly experienced Senior Compliance Officer to oversee and manage the end-to-end compliance functions of our SEBI-registered Stock Broking firm. Should have strong knowledge of the regulatory framework governing Stock Exchanges, Depositories, and Mutual Fund activities, along with hands-on experience in dealing with regulatory bodies.</p><p>Key Responsibilities</p><p>1. Regulatory Compliance</p><ul><li>Ensure full compliance with SEBI, Stock Exchanges (NSE/BSE/MSEI), Depositories (NSDL/CDSL) and AMFI/Mutual Fund regulations.</li><li>Track and implement all circulars, guidelines, and regulatory updates.</li><li>Review and update internal policies, manuals, and SOPs in line with regulatory changes.</li></ul><p>2. Exchange &amp; Depository Compliance</p><ul><li>Oversee all exchange filings, reporting, and submissions (monthly/quarterly/annual).</li><li>Manage compliance related to client onboarding, KYC, CKYC, PMLA, Risk Profiling, FATCA &amp; CRS.</li><li>Monitor transactions for AML/PMLA red flags and ensure timely reporting through STRs/CTRs where applicable.</li><li>Ensure proper upkeep of depository operations, DP documentation, reconciliations and compliance filings.</li></ul><p>3. Mutual Fund Compliance</p><ul><li>Support compliance requirements for Mutual Fund distribution operations.</li><li>Ensure adherence to AMFI code of conduct, EUIN rules, brokerage norms, and reporting requirements.</li></ul><p>4. Audits &amp; Inspections</p><ul><li>Coordinate with statutory, internal, concurrent auditors, and regulatory authorities during inspections.</li><li>Prepare data, responses, and ensure closure of audit/inspection observations within deadlines.</li><li>Maintain all necessary registers, logs, compliance records, and audit trails.</li></ul><p>Job Types: Full-time, Permanent</p><p>Pay: ₹30,000.00 - ₹40,000.00 per month</p><p>Work Location: In person</p>

UPSTOX

<div><div><div><b>Position</b>: Compliance Officer</div><div><b>
Reporting To:</b> Board of Directors</div><div><b>
Location</b>: Gift City</div><div><b>
Department</b>: Legal &amp; Compliance</div><div></div><div><b><br>
About Upstox:</b></div><div>
At Upstox, we&rsquo;re building the future of investing &mdash; simple, powerful, and for everyone. We're one of India&rsquo;s fastest-growing fintech platforms, backed by the best in the business, including Mr. Ratan Tata and Tiger Global, and on a mission to make wealth creation accessible to every Indian. From first-time investors to seasoned traders, millions trust us to power their financial journeys. We're not just moving fast &mdash; we&rsquo;re moving with purpose. If you thrive in a high-energy, high-impact environment, you're in the right place.</div><div></div><div><b><br>
Role Overview:</b></div><div>
The Compliance Officer (CO) will be responsible for overseeing and ensuring full adherence to regulatory, legal, and internal compliance requirements. The role demands a senior professional with strong understanding of financial services, regulatory frameworks, risk management, and governance practices. The CO will work closely with the Board to design, implement, and monitor compliance programs aligned with IFSCA guidelines.</div><div></div><div><b><br>
Key Responsibilities</b></div><div>
Oversee the organisation&rsquo;s Legal and compliance framework and ensure adherence to all regulatory requirements applicable to the SBU operating in GIFT City, under the IFSCA and other regulatory guidelines.</div><div>
Establish, update, and monitor internal policies, procedures, and controls.</div><div>
Review and interpret regulatory updates and ensure timely implementation across the business.</div><div>
Liaise with regulatory bodies, auditors, and internal teams regarding compliance matters.</div><div>
Monitor risk exposures and ensure strong governance mechanisms.</div><div>
Ensure accurate and timely record-keeping as per regulatory norms.</div><div>
Oversee the implementation and adherence to the organisation&rsquo;s Code of Conduct.</div><div>
Review financial statements from a compliance and regulatory perspective.</div><div>
Prepare compliance reports and present findings directly to the Board.</div><div>
Lead compliance training and awareness programs across the organisation.</div><div></div><div><b><br>
Educational Qualifications</b></div><div>
Professional qualification; or PG degree/diploma in relevant fields (finance, law, accountancy, business management, commerce, economics, capital markets, banking, insurance, actuarial science); or</div><div>
CFA/FRM; or Other qualifications recognised by IFSCA.</div><div><b>
Additional Provisions:</b></div><div>
Graduation + 10 years of financial services experience is acceptable.</div><div>
LLB degree holders are eligible irrespective of other qualifications.</div><div><b>
Experience Requirement</b></div><div>
Minimum 2 years&rsquo; experience in the financial services sector; or</div><div>
Experience from any field is acceptable if the candidate has at least 2 years of experience in a compliance role.</div><div></div><div><b><br>
Competencies &amp; Skills:</b></div><div>
Strong grasp of legal and regulatory compliance frameworks.</div><div>
Ability to understand and interpret financial statements.</div><div>
Knowledge of risk management practices and reporting.</div><div>
Familiarity with record-keeping and compliance documentation standards.</div><div>
Sound judgment, ethics, and integrity in decision-making.</div><div>
Excellent communication, documentation, and stakeholder management skills.</div><div></div><div><b><br>
Psst&hellip; tips on how you can beat the competition:</b></div><div>
If you can showcase your abilities to</div><div>
Be self-driven / quick starter</div><div>
Have an ownership mindset</div><div>
Aggressively drive and deliver results</div><div></div><div><b><br>
If you fit the above description, we would love to connect with you! APPLY NOW</b></div><div><b>
A basic requirement </b>but one that many forget: Make sure you go through our website, download our app and give us feedback!</div><div></div><div><br>
By applying for this position, you acknowledge that you have reviewed our <b>Prospective Employee Privacy Notice</b>, which outlines how Upstox collects, uses, and protects your Personal Information (&quot;PI&quot;). I accept Upstox's Prospective Employee Privacy Notice.</div><div>
Upstox is an Equal Opportunity Employer; all qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, veteran status, or other characteristics.</div></div>
<div><div>We may use artificial intelligence (AI) tools to support parts of the hiring process, such as reviewing applications, analyzing resumes, or assessing responses. These tools assist our recruitment team but do not replace human judgment. Final hiring decisions are ultimately made by humans. If you would like more information about how your data is processed, please contact us.</div></div></div>

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