Compliance Manager

UpMan Placements; Mumbai; On-site; INR 800,000 - 1,200,000; Full time

Job summary

UpMan Placements is seeking a compliance professional to monitor SEBI guidelines for business partners in the Mumbai area. The role focuses on inspections, identifying gaps, and ensuring KYC and regulatory compliance across the organization.

The candidate will review periodic submissions, prepare MIS reports, and coordinate with SEBI and stock exchanges. Strong communication and coordination skills are essential for success in this position.

Qualifications

• Knowledge of Capital Markets / Financial Services.
• Understanding of SEBI regulations and KYC compliance.
• Experience in Regulatory Compliance, Monitoring, and MIS Reporting.
• Strong coordination and communication skills.

Responsibilities

• Monitor Business Partners' compliance with SEBI guidelines and regulatory requirements.
• Conduct inspections and identify compliance gaps.
• Ensure KYC and regulatory compliance.
• Review and track periodic compliance submissions from Business Partners.
• Prepare MIS reports and handle regulatory reporting.
• Monitor compliance deadlines and follow up with Business Partners.
• Coordinate with SEBI, stock exchanges, and internal departments.
• Review inspection alerts and ensure timely corrective actions.

Skills

Capital Markets

SEBI Regulations

KYC Compliance

MIS Reporting

Job description

Experience: 3-5 Years
Location: BKC, Mumbai

Key Responsibilities:

• Monitor Business Partners' compliance with SEBI guidelines and regulatory requirements.
• Conduct inspections and identify compliance gaps.
• Ensure KYC and regulatory compliance.
• Review and track periodic compliance submissions from Business Partners.
• Prepare MIS reports and handle regulatory reporting.
• Monitor compliance deadlines and follow up with Business Partners.
• Coordinate with SEBI, stock exchanges, and internal departments.
• Review inspection alerts and ensure timely corrective actions.

Required Skills:

• Knowledge of Capital Markets / Financial Services.
• Understanding of SEBI regulations and KYC compliance.
• Experience in Regulatory Compliance, Monitoring, and MIS Reporting.
• Strong coordination and communication skills.