Mumbai Maharashtra Sebi compliance Jobs – 160 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
Operations Executive
Credent Asset Management Services Limited —Andheri East, Mumbai, Maharashtra
- ₹30,000 - ₹40,000 a month
- Full-time
- Microsoft Excel
- Bachelor's degree
- In-person
Quick apply
11d
Compliance Officer - GIFT
Artha Venture Fund —Lower Parel, Mumbai, Maharashtra
- ₹37,50,000 a year
- Finance
- Analysis skills
- Bachelor's degree
Financial Compliance Specialist (India) – Freelance AI Trainer Project
Meridial —Mumbai, Maharashtra
- ₹6 - ₹65 an hour
- Remote
- AI
- Health insurance
- Paid time off
Associate (AVP) – Compliance, Societe Generale Securities India (Mumbai)
Société Générale —Mumbai, Maharashtra
- Microsoft Powerpoint
- English
- Master's degree
Delivery Manager
Ventura Securities Ltd —Thane, Maharashtra
- ₹6,00,000 - ₹12,00,000 a year
- Full-time
- Hybrid work
- Computer Science
- Engineering
- SQL
- Health insurance
- Work from home
Quick apply
13d
Associate Secretarial & Compliance | Mumbai
TSS Consultancy Pvt. Ltd. —Mumbai, Maharashtra
- Full-time
- Project management
- Bachelor's degree
- Communication skills
Quick apply
14d
Manager - Contracts
LyfLeap Talent Solutions Private Ltd —Andheri, Mumbai, Maharashtra
- ₹17,00,000 - ₹18,00,000 a year
- Full-time
- Engineering
- Microsoft Office
- Bachelor's degree
Quick apply
4d
Investment Banking Associate
Kaizen Partners —Mumbai, Maharashtra
- ₹30,000 - ₹50,000 a month
- Full-time
- Microsoft Powerpoint
- Google Suite
- English
- Cell phone reimbursement
Quick apply
Compliance Officer - Direct Equities
Equirus —Mumbai, Maharashtra
- Full-time
- Master's degree
- Bachelor's degree
- Business Administration
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
Compliance Officer - Asset Management
Equirus —Mumbai, Maharashtra
- Full-time
- Master's degree
- Bachelor's degree
- Communication skills
AVP – Mutual Fund Operations
scymes services pvt limited —Goregaon, Mumbai, Maharashtra
- ₹35,00,000 - ₹36,00,000 a year
- Full-time
- Finance
- Master's degree
- Accounting
Quick apply
7d
Senior Associate - Internal Auditor
MGB Advisors —Mumbai, Maharashtra
- ₹9,00,000 - ₹13,00,000 a year
- Full-time
- Microsoft Excel
- Finance
- Master's degree
- Commuter assistance
- Health insurance
Quick apply
6d
Manager SEBI
Staffing Arrow —Mumbai, Maharashtra
- ₹7,00,000 - ₹9,00,000 a year
- Full-time
- Microsoft Excel
- Team management
- In-person
Quick apply
back office job
OG CONNECT —Marine Drive, Mumbai, Maharashtra
- ₹35,000 - ₹45,000 a month
- Full-time
- Microsoft Word
- Microsoft Excel
- Microsoft Outlook
Quick apply
7d
Risk Managemement (Broking)
Roots Recruitment Services —Vile Parle, Mumbai, Maharashtra
- ₹5,50,000 - ₹8,00,000 a year
- Full-time
- In-person
Quick apply
6d
AVP, Specialist, Operations, Sec Svcs-Custody Svcs, Corporate Banking (BL0109)
DBS Bank —Mumbai, Maharashtra
- Full-time
- Finance
- Master's degree
- Bachelor's degree
4d
Company Secretary
scymes services pvt limited —Wadala, Mumbai, Maharashtra
- ₹15,00,000 - ₹18,00,000 a year
- Full-time
- Master's degree
- Analysis skills
- In-person
- Health insurance
Quick apply
17h
Senior Executive / Deputy Manager - Compliance
NCDEX —Mumbai, Maharashtra
- Microsoft Powerpoint
- Microsoft Word
- Microsoft Excel

I want to receive the latest job alerts for sebi compliance in mumbai maharashtra

By signing in to your account, you agree to SimplyHired's Terms of Service and consent to our Cookie and Privacy Policy.

Explore jobs in more locations

sebi compliance jobs near mumbai maharashtra

Senior Internal Auditor jobs in Mumbai, Maharashtra

Banking Associate jobs in Mumbai, Maharashtra

Head Of Compliance jobs in Mumbai, Maharashtra

Compliance Officer jobs in Mumbai, Maharashtra

Assistant Vice President jobs in Mumbai, Maharashtra

Senior Internal Auditor jobs in Ranchi, Jharkhand

Auditor jobs in Coimbatore, Tamil Nadu

Senior Graphic Designer jobs in Hyderabad, Telangana

Senior Internal Auditor jobs in Cannanore, Kerala

Senior Internal Auditor jobs in Kollam, Kerala

Senior Accountants jobs in Coimbatore, Tamil Nadu

Operations Executive,kosta Shipping jobs in Kerala

Operations Administrator jobs in Arunachal Pradesh

Operations Administrator jobs in Barakhamba, Delhi, Delhi

Linux Administrator jobs in Pune, Maharashtra

Operations Intern jobs in Chennai, Tamil Nadu

Operations Administrator jobs in Kalamassery, Kochi, Kerala

Manager Cnc jobs in Coimbatore, Tamil Nadu

Manager, Purchase ,billing jobs in Haridwar, Uttarakhand

Operational Manager jobs in Gurugram, Haryana

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

sebi compliance jobs in mumbai maharashtra

Compliance and Operations Head

Operations Executive

Compliance Officer - GIFT

Financial Compliance Specialist (India) – Freelance AI Trainer Project

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

Delivery Manager

Associate Secretarial & Compliance | Mumbai

Manager - Contracts

Investment Banking Associate

Compliance Officer - Direct Equities

DP & Operational Risk Manager

Compliance Officer - Asset Management

AVP – Mutual Fund Operations

Senior Associate - Internal Auditor

Manager SEBI

back office job

Risk Managemement (Broking)

AVP, Specialist, Operations, Sec Svcs-Custody Svcs, Corporate Banking (BL0109)

Company Secretary

Senior Executive / Deputy Manager - Compliance

I want to receive the latest job alerts for sebi compliance in mumbai maharashtra

Explore jobs in more locations

Jobseeker tools

Employer Tools

Browse

Stay Connected