Kharghar Navi Mumbai Maharashtra Head of compliance Jobs – 837 Open Jobs Today

Compliance and Operations Head
FINNOVATE —Mumbai, Maharashtra
- ₹12,00,000 - ₹15,00,000 a year
- Full-time
- Microsoft Excel
- Finance
- Analysis skills
- Health insurance
- Paid time off
Quick apply
Head of Operations
B B Banthia Finance Pvt Ltd —Panvel, Maharashtra
- ₹60,000 - ₹70,000 a month
- Full-time
- Master's degree
- Project management
- Bachelor's degree
- Health insurance
- Paid time off
Quick apply
Risk & Compliance Head - FinTech Company
gHRig People Solutions —Mumbai, Maharashtra
- ₹25,00,000 - ₹30,00,000 a year
- Full-time
- Financial services
Quick apply
CASPL Head of Trade Finance
Crédit Agricole CIB —Mumbai, Maharashtra
- Management
- English
- Master's degree
Head of Technology - SC Capital & SCMAC, India
Standard Chartered —Mumbai, Maharashtra
- PMP
- Bachelor's degree
- Agile
- Health insurance
- Paid sick time
14d
Operations Head
Finoviser Financial Services —Navi Mumbai, Maharashtra
- B.Sc
- Finance
- Master's degree
Assistant Center Head (ACH)
Vishwajyot High School —Kharghar, Navi Mumbai, Maharashtra
- From ₹25,000 a month
- Full-time
- English
- Bachelor's degree
- In-person
Quick apply
Executive Director - Head of Control Management India , Fund Services Operations
JPMorganChase —Mumbai, Maharashtra
- Full-time
- Project management
- Mentoring
- AI
3d
Head of Credit Control
ProstarM info system ltd —Ghansoli, Navi Mumbai, Maharashtra
- Up to ₹1,00,000 a month
- Full-time
- Microsoft Excel
- Finance
- Master's degree
- Work from home
Quick apply
10d
Senior Manager - Internal Audit - SCO
SUBCONTINENT REGIONAL OFFICE —Navi Mumbai, Maharashtra
- Full-time
- Up to 50% travel
- Computer literacy
- English
Quick apply
Regional Head of Tech Transformation
Russell Investments —Mumbai, Maharashtra
- Management
- Human resources
- Agile
Finance Manager
Aurafox Solutions Private Limited —Navi Mumbai, Maharashtra
- ₹8,00,000 - ₹13,00,000 a year
- Full-time
- Microsoft Excel
- ERP systems
- Finance
- Health insurance
Quick apply
HRBP - Global CPHQ
UPL ltd —Navi Mumbai, Maharashtra
- Full-time
- Master's degree
- Bachelor's degree
- Human resources
Practice Head
FutureBridge —Navi Mumbai, Maharashtra
- Full-time
- Doctoral degree
- B.Sc
- Master's degree
Academic Head
New Horizon Group Of Schools —Airoli, Navi Mumbai, Maharashtra
- ₹60,000 - ₹80,000 a month
- Full-time
- Doctoral degree
- Master's degree
- Education
Quick apply
Associate (AVP) – Compliance, Societe Generale Securities India (Mumbai)
Société Générale —Mumbai, Maharashtra
- Microsoft Powerpoint
- English
- Master's degree
Factory Head Guilt-free indulgence desserts company
Skyleaf Consultants —Navi Mumbai, Maharashtra
- ₹20,00,000 - ₹25,00,000 a year
- Full-time
- Management
- Engineering
- Master's degree
Head of Operations
FINVASIA CAREER —Unknown, Maharashtra
- Finance
- Master's degree
- Bachelor's degree
Quick apply
Assistant Manager - Finance & Accounts
Shree Ramdev Metalex LLP —Taloja, Navi Mumbai, Maharashtra
- ₹40,000 - ₹50,000 a month
- Urgently hiring
- Microsoft Excel
- Finance
- Master's degree
- Health insurance
Quick apply
Director, Head of Infrastructure, India
Russell Investments —Mumbai, Maharashtra
- Full-time
- Azure
- Computer Science
- Master's degree

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Compliance and Operations Head

FINNOVATE -
Mumbai, Maharashtra

Quick apply

Job details

Full-time
₹12,00,000 - ₹15,00,000 a year

Benefits

Health insurance
Paid time off

Qualifications

Wealth management
Microsoft Excel
Finance
Analysis skills
Bachelor's degree
Business Administration
Communication skills

Full job description

Job Overview: We are looking for a detail-oriented and proactive Compliance & Operations professional to manage regulatory compliance and operational processes for our SEBI-registered Investment Advisory (RIA) and Portfolio Management Services (PMS) business. The ideal candidate should have a strong understanding of SEBI regulations, operational workflows, documentation, and coordination with internal and external stakeholders.

Key Responsibilities:

Compliance:

Ensure compliance with SEBI regulations applicable to RIA and PMS businesses.
Prepare, review, and maintain statutory records, registers, and regulatory documentation.
Coordinate with auditors, compliance consultants, exchanges, custodians, and regulatory authorities.
Manage regulatory filings, disclosures, and periodic reporting within prescribed timelines.
Track regulatory updates and assist in implementing changes across the organization.
Monitor adherence to internal compliance policies, SOPs, and governance standards.
Support internal, statutory, and SEBI audits by providing necessary documentation and responses.

Operations:

Manage end-to-end client onboarding, KYC verification, and account opening documentation.
Coordinate with custodians, brokers, RTAs, banks, and other financial institutions for operational activities.
Ensure timely execution and reconciliation of investment transactions.
Maintain accurate client records, agreements, and operational documentation.
Prepare MIS reports, compliance reports, operational dashboards, and management reports.
Monitor operational risk and recommend process improvements to enhance efficiency. Resolve operational queries from internal teams and clients.

Documentation & Reporting:

Maintain agreements, client records, regulatory registers, and compliance documents.
Prepare monthly, quarterly, and annual compliance reports.
Ensure proper record retention in accordance with SEBI regulations.
Assist in drafting and updating internal policies, SOPs, and operational manuals.

Stakeholder Management:

Collaborate with Investment, Relationship Management, Finance, Legal, and Technology teams.
Coordinate with external vendors, custodians, consultants, and auditors for smooth business operations.

Desired Candidate Profile:

Bachelor’s degree in commerce, Finance, Business Administration, Law, or a related field.
3–7 years of experience in Compliance and Operations within Wealth Management, PMS, RIA, Mutual Funds, Broking, or Asset Management.
Good understanding of SEBI (Investment Advisers) Regulations and SEBI (Portfolio Managers) Regulations.
Knowledge of KYC, AML, FATCA, CKYC, and investor onboarding processes. Proficiency in MS Excel and reporting tools. Strong analytical, documentation, and problem-solving skills.
Excellent communication and stakeholder management abilities.
Ability to work independently and manage multiple priorities.

Preferred Experience:

Experience working in a SEBI-registered RIA or PMS organization.
Familiarity with compliance management systems and wealth management platforms.
Exposure to regulatory audits and compliance reporting.
Certifications such as NISM Investment Adviser (Level 1 & 2), NISM Series XXI-A/B, or other relevant certifications will be an added advantage.

Key Competencies:

Regulatory Compliance
Operations Management
Documentation & Record Management
Attention to Detail
Risk & Control Analytical Thinking
Stakeholder Management
Process Improvement
Time Management
Integrity & Confidentiality

Benefits on being a part of Finnovate:

➢ Health Insurance: Coverage including options for dependents.

➢ Paid Time off: Vacation days and holidays, allowing employees to take time off while still receiving pay.

➢ Parental Leave: Paid time off for new parents, including maternity, paternity, and adoption leave.

➢ Recognition and Incentives: Performance-based variable pay or recognition programs to reward employees for their contributions.

➢ Company Events and Celebrations: Company outings, team- building activities for bonding between team members

➢ Employee Recognition Programs: Awards, incentives, or bonuses for outstanding performance or tenure.

➢ Employee Referral Programs: Bonuses or incentives for referring qualified candidates who are hired by the company.

Working Days: Monday to Saturday (Alternate Saturdays off)

Working Time: 9.30 am to 6.30pm (Employees working on Sundays are eligible for a comp off)

Pay: ₹1,200,000.00 - ₹1,500,000.00 per year

Work Location: In person

Quick apply

Refine Your Search

head of compliance jobs in kharghar navi mumbai maharashtra

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