Compliance Head

Moneylicious – Compliance Head – Custodian

A Large Financial Conglomarate foraying into Custodian Business is urgently looking for a Lead Compliance Profile. Location: Mumbai Domain Expertise: SEBI (Custodian) Regulations & FPI Guidelines Key Highlights: – End-to-end regulatory compliance & oversight for Custodial operations. – Direct leadership of safekeeping, clearing, settlement & corporate actions compliance. – Strategic regulatory interface with SEBI, NSDL,

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Head – Investment Compliance – Asset Management

Strategy, Operating Model & Governance: – Set the strategy and multi-year roadmap for Investment Compliance (coding + monitoring + governance) and Controls Monitoring, aligned to the Asset Management operating model, risk appetite, and control framework. – Establish and own the global operating standards for mandate interpretation, rule taxonomy, evidence and documentation, breach workflows, and escalation

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Tata AIA Life Insurance – Assistant Vice President – Taxation & Compliance

Role Description: Join Tata AIA Life Insurance, a leading and fastest-growing life insurance provider in India, established in 2001 as a joint venture between Tata Sons Pvt. Ltd. and AIA Group Ltd. Our company embodies a legacy of trust, integrity, and excellence, combining Tata’s esteemed leadership with AIA’s extensive pan-Asian expertise. At Tata AIA, our

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JP Morgan Chase – Vice President – Compliance Conduct & Operational Risk

Job summary: As a Conduct Risk Operations manager within the Compliance Conduct and Operational Risk organization, you will manage a Risk operations team to ensure that our customers, employees, and lines of business are in adherence with firm standards and required regulations. Through your leadership, the department will design and operate processes supporting adherence to

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Assistant Vice President/Vice President – Compliance

Job Description: Coordinating with internal auditors, cybersecurity/system auditors, SEBI officials/inspection teams during audits and inspections. Preparing and submitting periodic reports to regulatory bodies, stock exchanges, and internal stakeholders, while maintaining effective communication and correspondence. Engaging and liaising with regulatory authorities such as SEBI, stock exchanges, and other relevant entities to address compliance-related matters. Continuously reviewing

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Head – Compliance – NBFC

About the Role: We are looking for an experienced Head of Compliance to lead the compliance function at a NBFC. The role will be responsible for ensuring adherence to RBI regulations, applicable laws, regulatory guidelines and internal policies, while acting as the key point of contact for RBI interactions, inspections, escalations and regulatory matters. The

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Monarch Networth Capital Limited – Chief Compliance Officer – AMC

Job Description – Chief Compliance Officer (CCO) Location: Mumbai Reporting To: Chief Executive Officer Monarch AMC (CEO) Functional Access: Board of Directors & Trustees Role Objective: The Chief Compliance Officer (CCO) will be responsible for ensuring full compliance with SEBI Mutual Fund Regulations, AMFI guidelines, and all applicable laws governing the AMC. The role is

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Chief Compliance Officer – Middle Layer – NBFC

Confidential Leadership Opportunity Experience: 15+ years Industry: NBFC Reporting: MD / Board Key Responsibilities: – Lead the overall Compliance function and regulatory governance. – Ensure adherence to RBI regulations, guidelines and regulatory requirements. – Manage RBI inspections, regulatory reporting, compliance monitoring and remediation. – Identify and manage regulatory-compliance risks. – Develop and strengthen compliance policies,

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Senior Vice President – Transaction Monitoring – Banking/Financial Services

Roles and responsibility: – Lead end-to-end Transaction Monitoring operations across multiple jurisdictions and business lines. – Oversee alert generation, alert reviews, investigations, case management, and Suspicious Activity Report (SAR/STR) recommendations. – Ensure adherence to global AML, sanctions, and financial crime policies, procedures, and regulatory obligations. – 15 – 20+ years of experience in Financial Crime

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Head – Investment Compliance – Asset Management

Head – Investment Compliance (17-25 yrs) Mumbai (Open for people willing to relocate to India) – Lead the Investment Compliance & Controls Monitoring function for the Asset Management business, covering end-to-end investment compliance, controls monitoring and market abuse monitoring. – Own investment guideline and mandate interpretation, translating client mandates, IMAs, prospectuses and regulatory requirements into

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Head – Compliance – Housing Finance

Role Overview: The Head Compliance will be responsible for leading the compliance function for the housing finance business, ensuring adherence to regulatory requirements, statutory obligations, internal policies, and applicable guidelines. The role will oversee regulatory monitoring, risk management, audits, and engagement with regulators and key stakeholders. Key Responsibilities: – Lead the overall regulatory compliance function

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Senior Vice President – Compliance Testing – Banking/Financial Services

Responsibilities: Strategy and Planning: – Assist in developing the annual audit plan in line with regulatory expectations and internal risk priorities. Policies, Processes & Procedures: – Preparation of Review checklists for Support functions in line with the regulatory guidelines/internal policies. Job specific bucket/s: – Conduct risk assessments for support functions to identify key control gaps.

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JP Morgan Chase – Vice President – Compliance & Operational Risk Testing

Job Description: As a Compliance and Operations Risk Test Manager, you will lead in shaping the testing strategy across various business lines, ensuring alignment with regulatory and firm requirements. Your deep understanding of risk management and control evaluation will be instrumental in identifying and mitigating risks, thereby enhancing compliance and operational risk management. Additionally, your

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Chief Compliance Officer – NBFC

Job Description – Chief Compliance Officer Designation: Chief Compliance Officer (CCO) Location: Mumbai Reporting to: Managing Director & CEO Functional Interface: Board / Board Committee, Senior Management & Regulators Industry: Large NBFC / Financial Services Role Overview: The Chief Compliance Officer will lead the organisation’s independent Compliance Function and will be responsible for establishing and

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Assistant Vice President – Compliance – Credit Regulations

Role Overview: Responsible for providing compliance advisory and regulatory guidance to business, product and operations teams, with strong focus on Wholesale & Retail Credit regulations and RBI guidelines. Key Responsibilities: – Advise business teams on credit regulations, RBI guidelines and compliance requirements. – Review credit products, processes and policy notes for regulatory compliance. – Track

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Assistant Vice President – Compliance Advisory – Capital Markets

Role Overview: We are seeking a seasoned Assistant Vice President of Compliance to lead our Capital Markets regulatory framework in Mumbai. In this pivotal role, you will oversee the firm’s adherence to complex financial regulations, ensuring that our trading activities and capital operations remain fully compliant with evolving market standards. You will work closely with

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Chief Compliance Officer – NBFC

Role and Profile: Chief Compliance Officer Exp: 15-25 Years Academic: Any Graduate+ CS, Law Graduate Preferred Location: Gurugram HR Role Objective: The CCO will be responsible for Establishing and Overseeing the End-to-End NBFC Regulatory Compliance Framework, Reactivation or Transformation of Dormant/Small NBFC, Establishment of Digital-Lending Operations, Transition From a founder-led or Lightly controlled Organisation to

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Head – Compliance

Position: Compliance Head Department: Compliance (Enablement Function) Reports To: Managing Director Location: Mumbai – Head Office Experience: 6 – 15 years Qualification: CS / LLB / CA Compliance Specialist Role Overview: We are seeking a seasoned Compliance Head to lead our regulatory framework and governance strategy in Mumbai. In this pivotal role, you will act

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Vice President – Regulatory Authorization & Permissions – Banking

Purpose of the role: To assist and review regulated entity authorisations applications to oversee that they are valid, complete, and compliant with all applicable policies and procedures. Investigating and raise unauthorised regulated entity incidents potentially operating outside of its licence. Accountabilities: – Identification and assessment of potential risks associated with regulated entity authorisations and implement

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Head – Compliance – NBFC

Qualifications: – CS + LLB mandatory. – Industry: NBFC / Housing Finance only. – 15+ years of relevant professional experience. – Mandatory experience in NBFC and/or Housing Finance industry. – Strong understanding of RBI/NHB regulations and financial-sector compliance. – Proven leadership experience in managing compliance functions. – Strong Board-level communication and stakeholder-management capabilities. – High

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Dr Lal PathLabs – Deputy General Manager – Control Assurance

SCOPE OF WORK: HERE IS WHAT YOU WILL DO: This role will be responsible for establishing and strengthening the organization’s internal audit, internal financial controls (IFC), risk management, and governance frameworks. It will provide independent assurance on the effectiveness of internal controls, risk mitigation measures, and compliance with statutory and regulatory requirements. Working closely with

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Assistant Vice President – Compliance – Credit Regulations

Role Overview: Responsible for providing compliance advisory and regulatory guidance to business, product and operations teams, with strong focus on Wholesale & Retail Credit regulations and RBI guidelines. Key Responsibilities: – Advise business teams on credit regulations, RBI guidelines and compliance requirements. – Review credit products, processes and policy notes for regulatory compliance. – Track

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Acaipl Investment & Financial Services – Head – Compliance

Executive Summary: We are seeking an astute and rigorous Head of Compliance to oversee regulatory integrity and governance across our Non-Banking Finance Company (NBFC). Position: Head of Compliance Company: Non-Banking Finance Company (NBFC) Location: Delhi Industry: Financial Services / Non-Banking Financial Company We are an established, high-growth financial services group operating a suite of boutique

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Assistant Vice President – Compliance – Banking

Job Title: Assistant Vice President – Compliance Department: Compliance Location: GIFT City, Gandhi Nagar Reporting Authority: Senior Vice President-1 Responsibilities: – Handling Compliance aspects related to GIFT City branch. – Analyzing impact of Acts/Rules/Regulations/Guidelines/Circulars and appraising the Senior Management about the Compliance Risks emanating from the regulations. – Supervising dissemination of actionables emanating from new

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Associate Director – KYC/AML – Cryptocurrency/Web3

Experience: – 15+ years in AML/KYC compliance, with at least 35 years focused specifically on the cryptocurrency, digital asset, or Web3 fintech space. Regulatory Compliance: – Ensure alignment with global and regional AML/KYC laws, sanctions screening, and customer due diligence (CDD/EDD) frameworks. Leadership & Strategy: – Direct large-scale KYC/AML operational teams, set strategic delivery goals,

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Truhome Finance – Vice President – Compliance

JOB OVERVIEW:  This role will be responsible for supporting the Company's compliance function by ensuring adherence to applicable regulatory, statutory, and internal governance requirements. The role focuses on regulatory compliance, policy governance, compliance monitoring, audit coordination, regulatory reporting, and implementation of regulatory changes across the organization. The position requires close collaboration with business and support

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