Mumbai Maharashtra Broking compliance Jobs – 95 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
7d
Compliance Officer
Rikhav securities Ltd —Mulund West, Mumbai, Maharashtra
- ₹45,000 - ₹75,000 a month
- Full-time
- Microsoft Excel
- Microsoft Office
- Finance
- Flexible schedule
Quick apply
Claim Processing Executive (Health Insurance)
Watch Your Health.com India Pvt Ltd —Mumbai, Maharashtra
- ₹18,000 - ₹25,000 a month
- Full-time
- Microsoft Excel
- Analysis skills
- Bachelor's degree
- Health insurance
- Paid time off
Quick apply
Compliance Manager
Aikyam capital pvt ltd —Mumbai, Maharashtra
- ₹8,00,000 - ₹15,00,000 a year
- Full-time
- Business development
- Analysis skills
- Bachelor's degree
Quick apply
DP & Operational Risk Manager
Greenbucks Securities Pvt ltd —Mumbai, Maharashtra
- ₹25,000 - ₹35,000 a month
- Full-time
- Microsoft Excel
- Master's degree
- Analysis skills
- Paid time off
- Flexible schedule
Quick apply
Operations Manager (Insurance Operations)
First Advisor insurance Brokers PVT LTD —Goregaon, Mumbai, Maharashtra
- ₹35,000 - ₹45,000 a month
- Urgently hiring
- CRM software
- Microsoft Excel
- Master's degree
- Paid time off
Quick apply
3d
Analyst, Compliance Consulting
Kroll —Mumbai, Maharashtra
- Full-time
- Analysis skills
- Communication skills
- Time management
Assistant Manager / Manager – HR Business Partner (Insurance Broking)
Kunvarji Finstock Pvt. Ltd —Andheri East, Mumbai, Maharashtra
- Full-time
- Master's degree
- Analysis skills
- Human resources
Quick apply
4d
Associate (AVP) – Compliance, Societe Generale Securities India (Mumbai)
Société Générale —Mumbai, Maharashtra
- Microsoft Powerpoint
- English
- Master's degree
1d
Associate Wealth Manager
Phillip Capital India Private Limited —Chakala, Mumbai, Maharashtra
- Full-time
- CRM software
- Math
- Financial services
- Paid time off
Quick apply
4d
SQL Developer
Strategies Studio —Ghatkopar, Mumbai, Maharashtra
- ₹25,000 - ₹50,000 a month
- Full-time
- SQL
- Analysis skills
- Financial services
Quick apply
Specialist - Claims Service
Marsh —Mumbai, Maharashtra
- Full-time
- Hybrid work
- Analysis skills
- Bachelor's degree
- Communication skills
10d
Equity Dealer
Yava Corp Global Limited —Malad, Mumbai, Maharashtra
- ₹5,00,000 - ₹6,00,000 a year
- Full-time
- Analysis skills
- Bachelor's degree
- In-person
- Paid time off
Quick apply
22h
Compliance Officer - Asset Management
Equirus —Mumbai, Maharashtra
- Full-time
- Master's degree
- Bachelor's degree
- Communication skills
Broking*Relationship*Branch Dealing-Dealer
Kotak Securities —Mumbai, Maharashtra
- Master's degree
- Bachelor's degree
- Computer networking
Sr Backoffice Operations - HNI Broking
Equirus —Mumbai, Maharashtra
- Full-time
- Microsoft Excel
- Bachelor's degree
- Team management
Head of Equity Research
ULJK Financial Services —Mumbai, Maharashtra
- Research
- Finance
- Master's degree
Execution Trader
Equirus —Mumbai, Maharashtra
- Full-time
- Microsoft Excel
- Finance
- Master's degree
Compliance Officer
Equirus —Mumbai, Maharashtra
- Full-time
- Master's degree
- Bachelor's degree
- MBA
Compliance Officer - Direct Equities
Equirus —Mumbai, Maharashtra
- Full-time
- Master's degree
- Bachelor's degree
- Business Administration

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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
7 days ago

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

broking compliance jobs in mumbai maharashtra

Compliance and Operations Head

Compliance Officer

Claim Processing Executive (Health Insurance)

Compliance Manager

DP & Operational Risk Manager

Operations Manager (Insurance Operations)

Analyst, Compliance Consulting

Assistant Manager / Manager – HR Business Partner (Insurance Broking)

Associate (AVP) – Compliance, Societe Generale Securities India (Mumbai)

Associate Wealth Manager

SQL Developer

Specialist - Claims Service

Equity Dealer

Compliance Officer - Asset Management

BrokingRelationshipBranch Dealing-Dealer

Sr Backoffice Operations - HNI Broking

Head of Equity Research

Execution Trader

Compliance Officer

Compliance Officer - Direct Equities

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