24 Compliance Operations Jobs

About this role: Wells Fargo is seeking a Compliance Director to lead the team in Hyderabad that performs activities covering the Global Compliance Control Group, and Information Barrier and Personal Account Dealing Surveillance, outside activity pre-clearance, equity aggregation, insurance licensing and registration. The Candidate will focus on overseeing the effective and consistent execution of these teams second line of defense. These teams are part of the broader Enterprise Compliance Operations (ECO) and Conduct Risk team. About the Enterprise Compliance Operations Team: Enterprise Compliance Operations (ECO) is a team comprised of several underlying teams which are highly operational in nature and are responsible for overseeing and implementing enterprise-wide compliance policies and procedures. Those teams include the Global Compliance Control Group (Control Room) including information barrier/personal investment policy surveillance, Personal Account Dealing Team, Equity Aggregation Team, Registration and Licensing teams. These compliance operations teams cover lines of business and enterprise functions globally as they relate to the underlying team responsibilities. In this role, you will: Manage and lead team with the implementation of the companywide compliance program with high risk complexity Manage and develop the execution and challenges on compliance related decisions Direct and oversee complex regulatory environments including establishing standards Oversee the Front Line's execution and challenges appropriately on compliance related decisions Manage an aspect of the companywide compliance program for a business group or functional area with moderate risk and complexity, or oversee and monitor specific elements of the companywide compliance program Provide compliance risk and regulatory subject matter expertise for a defined set of moderate risk compliance program elements Recommend opportunities for process improvement and risk control development Identify reporting, escalation, timely remediation of issues and deficiencies or regulatory matters regarding compliance risk management Make decisions and resolve issues to meet business objectives Interpret policies, procedures, and compliance requirements Interface and foster relationships with corporate, business leaders, Legal, Audit, regulators, and industry partners on risk related topics Lead team to achieve objectives Manage allocation of people and financial resources for Compliance Develop and guide a culture of talent development to meet business objectives and strategy Required Qualifications: 8+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education 4+ years of management or leadership experience Desired Qualifications: Experience managing some or all of the following compliance teams: global Control Group teams (Control Room), Personal Account Trading, trade surveillance, outside activities, equity aggregation (large shareholder monitoring and reporting), insurance licensing and registration. Experience overseeing the implementation of a large strategic technology book of work. Focus on Global Control Group preferable Knowledge and understanding of compliance practices and methodologies, including risk assessment, monitoring, and testing activities, regulatory change Experience developing or enhancing programs that seek to address business or regulatory changes affecting current processes within an organization Experience building or maintaining key relationships across departments and functions, and establishing a culture of engagement Proven ability to positively and creatively influence change and champion critical change initiatives; help others to anticipate and manage through change Ability to work in a highly complex organization and influence the outcomes of decisions to ensure the most appropriate risk posture in a rapidly changing environment Ability to think beyond the risks today and those related to immediate activities, and to look at the risks associated with emerging technologies, capabilities and activities that could drive risks we have not previously managed Ability to create new policy, guidance, and/or guardrails in areas where there is no roadmap, rules, or previous foundation to rely upon Professional maturity and confidence in expressing a point of view with senior management Proven ability to share lessons learned and best practices across an organization Experience in project management, including the development of overall project objectives, deliverables, and strategies; identification of dependencies; and maintenance of ongoing documentation supporting project status, including core risks and obstacles. Extensively influences and negotiates with senior management, executive sponsors, and other key Anticipates emerging issues and develops strategies to meet business needs Job Expectations: Candidate will report directly to the Head of India and Philippines Compliance and have a functional dotted line to the Compliance Executive for Enterprise Compliance Operations and Conduct Risk and will work in close collaboration across and within the ECO and Conduct Risk leadership team to help achieve the teams strategic objectives and goals. Specific duties for this position include, but are not limited to: Build and retain high performing teams to assist the Candidate in achieving ECO teams strategic objectives and goals. Work closely with Compliance Program Strategy, Planning & Governance, and other Enterprise Risk Program owners to evaluate technology needs and identify technology solutions to support target state. Oversee the continued implementation of the Compliance Framework to minimize the risks associated with a highly operational compliance teams with global footprint covering most businesses, and high compliance and regulatory risk processes Drive the harmonization and rationalization of applicable compliance policies and procedures across the Teams Lead the build out of the Teams key risk and key performance indicators (KRIs and KPIs) and supervisory controls Partner with the Compliance Technology and Project Management Office to help identify and track the current manual controls that will become automated through the implementation of the IT strategic book of work Offer solutions and recommendations on how to simplify the Teams processes, improve the control framework, and assist in implementing those ideas to help achieve operational excellence and minimize compliance and regulatory risk Assist in driving the harmonization and rationalization of applicable compliance policies and procedures across the ECO teams and ensure timely updates pursuant to Risk Policy requirements Provide direct input into the ECO teams periodic Compliance Management Reporting to the Chief Compliance Officer for Compliance Risk Committee Ensure appropriate and timely identification and escalation of issues and emerging risks Oversee and credibly challenge the reporting, escalation and timely remediation of compliance-related issues Lead and actively participate as a key member of the ECO and Conduct Risk leadership team and India & Philippines Compliance Leadership meetings

: Job TitleEmployee Compliance Officer LocationBangalore, India Corporate TitleAVP Role Description The Employee Compliance Department protects the Bank by advising on ethical conduct, identifying regulatory solutions, safeguarding integrity and reputation, and promoting, in partnership with the business, a culture of Compliance. Given the regulatory scrutiny and the need to implement a robust and globally consistent control framework, an effective Central Compliance function is a key component to the Departments success. In the APAC region, Employee Compliance (EC) are responsible for Personal Account Dealing, Private Investment Transactions, Outside Business Interests, Global Attestations and Licensing & Registrations (Singapore and Hong Kong). The successful candidate will be responsible for providing oversight to centralized services relating to all processes relating to EC Operations in APAC. You will also be responsible for managing escalation cases relating to senior management to provide a high quality of service and meet the expected service standards. You should have experience in Compliance Operations, meet stakeholder expectations and requirements, communicate upwards and downwards and escalate relevant issues to senior management and regional stakeholders. Also, ability to help identify/deliver value / efficiencies through continuous process improvements and automation and implementation of globally consistent processes. What well offer you , 100% reimbursement under childcare assistance benefit (gender neutral) Sponsorship for Industry relevant certifications and education Accident and Term life Insurance Your key responsibilities Be APAC subject matter expert in PAD Lead the Personal Account Dealing (PAD) and Global Attestation (GA) pillars for APAC EC regional team. Manage escalations from APAC employees and EC DIPL team regarding PAD matters Perform QA (quality assurance) on tasks performed by the EC processing team and ensure appropriate QA documentation Escalation point for breach and consequence management reviews / queries from stakeholder Ensure escalated cases are followed up and documented and updated in a timely manner Ensure the task queues are handled and closed in a timely manner to mitigate backlogs Identify risk based EC operating efficiencies Review, investigate and escalate irregularities and abnormal activities. Provide general oversight on EC activities performed by the EC BAU processing team Partner with other Compliance teams such as Country Compliance and Business Line Compliance in APAC on EC matters Provide support to and manage senior management queries Work with EC BAU processing team to create MI Reports as and when required to senior management Provide support on global and ad hoc EC initiatives Remain aware of any regional regulatory developments which may impact the EC processes Your skills and experience 8 to 10 years of Investment Banking experience in Compliance Operation processes. MBA or equivalent degree or PG in Commerce and Finance. Strong operations background in standard banking products, financial market products, stock exchanges and should be able to interpret policies. Skilled in verbal and written articulation/communication with the senior management comfortable in making presentations and exposure to handle audits. Strong analytical skills, attention to detail, service commitment and solid people management skills, manage communication upward and downward. Innovative approach to work and ability to continuously identify and implement process improvements and automate/create efficiencies The ability to work under pressure and within tight deadlines with excellent quality. Action oriented with a strong focus on completing tasks while working independently and with minimum direction. Well versed in using MS office, PowerPoint, and Excel (Pivots, Vlookup, formulas and data analysis) How well support you Coaching and mentoring from experts in the Bank. .

The Operations Executive will oversee daily operations, ensuring smooth workflow efficiency, cross-departmental coordination, and compliance with company policies and industry regulations. The role involves developing and implementing strategies to meet business objectives, managing business proposals, and preparing reports to track performance metrics. Key Responsibilities: Daily Operations Management: Oversee daily operations, ensuring efficient management of tasks and workflows. Cross-Department Coordination: Facilitate communication and collaboration between departments to ensure smooth operations. Compliance Assurance: Ensure adherence to company policies and relevant industry regulations. Strategy Development & Implementation: Develop and implement operational strategies to support the achievement of business goals and objectives. Business Proposal Management: Oversee business proposals from inception to completion, ensuring timely delivery and alignment with organizational goals. Performance Reporting & Analysis: Prepare and analyze operational reports to track performance, identify areas for improvement, and ensure continuous operational efficiency. Support to Operations Head: Perform any additional tasks as required by the Operations Head to support the operational functions of the company. Qualifications: Education: Bachelors degree in a related field. Experience: Proven experience in an operational role, demonstrating a strong understanding of operations management. Skills: Excellent communication and interpersonal skills. Strong attention to detail and the ability to multitask effectively. In-depth knowledge of operational best practices and regulatory compliance.

Key Responsibilities Access Certifications: Execute access certifications across all systems within scope, ensuring alignment with governance and compliance requirements. Remediation Tracking: Monitor and track remediation actions for failed access reviews; escalate violations of policies to relevant stakeholders. Reporting & Dashboards: Maintain accurate dashboards and compliance reports to support audit readiness and ongoing monitoring efforts. Policy Governance: Review and update governance policies in coordination with business units and compliance teams to reflect evolving standards. Documentation & Process Improvement: Support the documentation of policies and contribute to enhancements in control processes and compliance workflows. Required Skills and Qualifications Relevant Experience: Proven experience in Identity and Access Management (IAM), IT audit, or compliance operations. Access Governance Expertise: Hands-on experience with access reviews, user lifecycle management (joiner/mover/leaver processes), and enforcement of access policies. Analytical & Technical Skills: Proficiency in Microsoft Excel for data tracking and issue resolution; strong analytical and problem-solving capabilities. Tool Proficiency: Working knowledge of governance tools such as SailPoint or similar platforms. Attention to Detail: High attention to detail with strong communication and reporting skills to ensure clarity and accountability. Required Skills User Access Management,Sailpoint,Iam

Job Description Position Title: Assistant to the Registrar Department: Office of the Registrar Location: Hyderabad Reporting To: Registrar Objective: To provide comprehensive administrative, clerical, and operational support to the Office of the Registrar to ensure efficient execution of its functions and responsibilities in alignment with institutional goals and regulatory compliance. Key Responsibilities: Executive Assistance: Work closely with the Registrar in handling confidential communications, preparing itineraries, and drafting agendas and minutes of meetings. Draft and manage official correspondence, acknowledgement letters, and personal communications as directed. Maintain the Registrars calendar and provide timely reminders of upcoming meetings and commitments. Administrative Support: Assist in daily office activities including documentation, filing, and records management. Maintain all files and records with accuracy and confidentiality. Prepare notes, drafts, proposals, and submit them to the Registrar for approval in a time-bound manner. Maintain a personal register for file movement and status tracking. Meeting & Communication Coordination: Compile agendas, circulate meeting notices, and coordinate the scheduling of various committee and departmental meetings. Record and prepare minutes for official meetings and follow up on action items. Communicate information, circulars, and instructions from senior officers to relevant departments and faculty. Documentation & Data Management: Assist in the compilation and submission of statutory data and reports to authorities and stakeholders as per timelines. Support responses to queries under the RTI Act, 2005, in coordination with the Registrar's Office. Ensure accuracy and compliance in the handling of institutional data and maintain confidentiality of sensitive information. Sectional Coordination: Work in coordination with Section Officer, Assistant Registrar, Deputy Registrar, and other administrative authorities. Promptly act on files and proposals received from other university sections or authorities. Ensure timely movement and processing of documents as per institutional protocols. Departmental Support: Assist departments/faculties/centres with administrative support such as: - Maintenance of student records. - Processing of admissions and examination-related documentation. - Management of office stock, equipment, and correspondence. - Compilation and submission of data required for audits, inspections, or reviews. Financial & Budgetary Support (if applicable): Assist in preparation of budgets, financial documentation, processing of bills, and maintenance of book of accounts. Support audit preparation and submission of utilization certificates to appropriate funding bodies. General Duties: Ensure transparency, accuracy, and adherence to university rules and regulations. Avoid submission of misleading or distorted notes and uphold institutional integrity at all times. Perform any additional duties as may be assigned from time to time by the Registrar or senior officials. Required Skills & Qualifications: Bachelor's degree in any discipline (Masters degree preferred). Proficient in office tools (MS Office, Excel, Email handling). Strong communication (written and verbal) and interpersonal skills. High degree of discretion in handling confidential information. Organized, efficient, and detail-oriented. Terms of Appointment: Type: Full-time Location: Hyderabad Salary & Benefits: As per university norms and regulations

Job Description Position Title: Assistant to the Registrar Department: Office of the Registrar Location: Hyderabad (Opening Soon) Reporting To: Registrar Objective: To provide comprehensive administrative, clerical, and operational support to the Office of the Registrar to ensure efficient execution of its functions and responsibilities in alignment with institutional goals and regulatory compliance. Key Responsibilities: Documentation & Data Management: Assist in the compilation and submission of statutory data and reports to authorities and stakeholders as per timelines. Ensure accuracy and compliance in the handling of institutional data and maintain confidentiality of sensitive information. Sectional Coordination: Work in coordination with Section Officer, Assistant Registrar, Deputy Registrar, and other administrative authorities. Promptly act on files and proposals received from other university sections or authorities. Ensure timely movement and processing of documents as per institutional protocols. Departmental Support: Assist departments/faculties/centres with administrative support such as: - Maintenance of student records. - Processing of admissions and examination-related documentation. - Management of office stock, equipment, and correspondence. - Compilation and submission of data required for audits, inspections, or reviews. Financial & Budgetary Support (if applicable): Assist in preparation of budgets, financial documentation, processing of bills, and maintenance of book of accounts. Support audit preparation and submission of utilization certificates to appropriate funding bodies. General Duties: Ensure transparency, accuracy, and adherence to university rules and regulations. Avoid submission of misleading or distorted notes and uphold institutional integrity at all times. Perform any additional duties as may be assigned from time to time by the Registrar or senior officials. Other Responsibilities: Executive Assistance: Work closely with the Registrar in handling confidential communications, preparing itineraries, and drafting agendas and minutes of meetings. Draft and manage official correspondence, acknowledgement letters, and personal communications as directed. Maintain the Registrars calendar and provide timely reminders of upcoming meetings and commitments. Administrative Support: Assist in daily office activities including documentation, filing, and records management. Maintain all files and records with accuracy and confidentiality. Prepare notes, drafts, proposals, and submit them to the Registrar for approval in a time-bound manner. Maintain a personal register for file movement and status tracking. Meeting & Communication Coordination: Compile agendas, circulate meeting notices, and coordinate the scheduling of various committee and departmental meetings. Record and prepare minutes for official meetings and follow up on action items. Communicate information, circulars, and instructions from senior officers to relevant departments and faculty. Required Skills & Qualifications: Bachelor's degree in any discipline (Masters degree preferred). Proficient in office tools (MS Office, Excel, Email handling). Strong communication (written and verbal) and interpersonal skills. High degree of discretion in handling confidential information. Organized, efficient, and detail-oriented. Terms of Appointment: Type: Full-time Location: Hyderabad (Opening Soon) Salary & Benefits: As per university norms and regulations

Coordination with the management and external stakeholders to close the recruitment cycle from start to finish.Handling of HR documentation & proficiency of records, including Background verification. Onboarding & De-boarding formalities. Required Candidate profile Candidate should be well versed in MS Excel and be familiar with recruitment terms and calculations; Should have good communicational skills for recruitment calling & cordination for operational work.

Marwadi Shares and Finance Limited. Marwadi was established in 1992 at Rajkot, Gujarat. It is a well-diversified group into Financial Services, Education and Solar energy. Currently employing more than 2000 employees as a Group Marwadi Financial Services is the financial services arm of the Marwadi Group and has 800 plus employees across 104 locations around Gujarat and neighboring states. There are also in excess of 1450 franchisees as a part of their network. Leveraging the network and their world class. product and services they have a 4.1L customer base. Job Purpose: The company is looking for a Branch Manager who is capable of handling entire branch operations and team handling with Business Development. Requirements: Qualification: Any Graduate / Post Graduate(MBA Finance) Experience: 3 Years and more Location: Amreli Responsibilities: Responsible for the overall development of the branch (i.e. Business Development, Marketing, Operations, Risk Management, Collection activities, Authorized persons and manpower, etc.). Acquiring personal HNI and ultra HNI category clients (privilege category) for broking & third-party products through networking, database, references from existing clients, and assigned leads from the organization. Assisting recruitment processes, hand-holding, and mentoring branch employees. Motivating and making them self-dependent in today's operations. Executing strategies for their branches and assisting team members individually to achieve their defined goals. Providing feedback and reviewing the performances of their team members in a proactive manner. Require understanding of various queries and service issues arising from clients, business associates, and team members and ensuring appropriate solutions in defining timelines. Executing and evaluating marketing and promotional activities for the branch, keeping in mind the market dynamics of the branch. Optimum utilization of available resources like AMCs, TPDs, depositories, exchanges regulators, and local resources (i.e. trade association, bullion association, Agriculture Produce Marketing Committee), etc. to create the Company's high visibility and acquire more clients. Assisting business associates in the branch to help them in various functions and operational matters. Acquired more number of Sub Brokers / Channel partners making them independent. Ensuring a high level of compliance norms as per guidelines of regulators and Marwadi Financial Services in the branch and taking appropriate majors for non-compliance practices observed. Using various evaluation methods to provide weekly, monthly, quarterly, half-yearly, and yearly feedback to team members to enhance their performances. Enhancing knowledge/skills (i.e. regularly attending research conferences, reading research materials, and equity market-related information) for self and team regularly with appropriate certifications (NISM) and professional degrees. Developing a conducive environment where teams feel highly motivated and enthusiastic. He acts as a mentor and team player to drive the team at the branch. Conducting all administrative activities effectively at branch levels like vendor management, bill payments, submission of vouchers, office decorum, petty cash management, and punctuality of the work, etc. Skills: Proficient knowledge of MS Excel, PowerPoint, and Word software. Excellent written and verbal communication skills. Problem Solving or Analysis skills. Should be Accurate and responsible. Personality: Careful and diligent even meticulous with a good dose of common sense Efficient, effective, and organized in both physical and digital words Modestly confident and also personable, good-humored and trustworthy Informal but 100% professional while respecting traditional courtesy and good manners.

Supervision of tellers in Cash Receipts / Payments, Coordinating with clearing department regarding MICR returns & high value returns and informing customers about the same Performing Real Time Gross Settlement & NEFT System within stipulated time Taking care of Beginning Of Day & End Of Day activities Authorising Demand Drafts & Bankers Cheques & liquidations if any Checking of Reports like Branch Journal Report,Authorisation Report,Force Debit Report etc. Indenting & maintaining of Secured Inventories e.g. DD/PO/Corporation Bank DDs etc. Co-ordinate with Branch Manager for Monthly Surprise checks e.g.Vault/Locker verification Look after Service issues & to ensure prompt complaint/query resolution. Take care of Operations,Service,Compliance & Quality aspects in Branch Acting as a Back up Branch Manager Co-ordinating with Branch Sales Manager to check Account Opening Forms to ensure 90% First Pass Co-ordination with Internal Audit Team for resolving audit related queries Take care of Foreign Inward & Outward Remittances , Bank Guarantees etc. Take care of Operations, Service, Compliance & Quality aspects in Branch Expertise in handling NRIs and Cash flow.

Marwadi Shares and Finance Limited. Marwadi was established in 1992 at Rajkot, Gujarat. It is a well-diversified group into Financial Services, Education and Solar energy. Currently employing more than 2000 employees as a Group Marwadi Financial Services is the financial services arm of the Marwadi Group and has 800 plus employees across 104 locations around Gujarat and neighboring states. There are also in excess of 1450 franchisees as a part of their network. Leveraging the network and their world class. product and services they have a 4.1L customer base. Job Purpose: The company is looking for a Branch Manager who is capable of handling entire branch operations and team handling with Business Development. Requirements: Qualification: Any Graduate / Post Graduate(MBA Finance) Experience: 3 Years and more Location: Ahmedabad Responsibilities: Responsible for the overall development of the branch (i.e. Business Development, Marketing, Operations, Risk Management, Collection activities, Authorized persons and manpower, etc.). Acquiring personal HNI and ultra HNI category clients (privilege category) for broking & third-party products through networking, database, references from existing clients, and assigned leads from the organization. Assisting recruitment processes, hand-holding, and mentoring branch employees. Motivating and making them self-dependent in today's operations. Executing strategies for their branches and assisting team members individually to achieve their defined goals. Providing feedback and reviewing the performances of their team members in a proactive manner. Require understanding of various queries and service issues arising from clients, business associates, and team members and ensuring appropriate solutions in defining timelines. Executing and evaluating marketing and promotional activities for the branch, keeping in mind the market dynamics of the branch. Optimum utilization of available resources like AMCs, TPDs, depositories, exchanges regulators, and local resources (i.e. trade association, bullion association, Agriculture Produce Marketing Committee), etc. to create the Company's high visibility and acquire more clients. Assisting business associates in the branch to help them in various functions and operational matters. Acquired more number of Sub Brokers / Channel partners making them independent. Ensuring a high level of compliance norms as per guidelines of regulators and Marwadi Financial Services in the branch and taking appropriate majors for non-compliance practices observed. Using various evaluation methods to provide weekly, monthly, quarterly, half-yearly, and yearly feedback to team members to enhance their performances. Enhancing knowledge/skills (i.e. regularly attending research conferences, reading research materials, and equity market-related information) for self and team regularly with appropriate certifications (NISM) and professional degrees. Developing a conducive environment where teams feel highly motivated and enthusiastic. He acts as a mentor and team player to drive the team at the branch. Conducting all administrative activities effectively at branch levels like vendor management, bill payments, submission of vouchers, office decorum, petty cash management, and punctuality of the work, etc. Skills: Proficient knowledge of MS Excel, PowerPoint, and Word software. Excellent written and verbal communication skills. Problem Solving or Analysis skills. Should be Accurate and responsible. Personality: Careful and diligent even meticulous with a good dose of common sense Efficient, effective, and organized in both physical and digital words Modestly confident and also personable, good-humored and trustworthy Informal but 100% professional while respecting traditional courtesy and good manners.

What You'll Do We are looking for a Senior Manager reporting to Sr Director of Compliance Operations to lead the Property Tax Managed Services India Team. The Senior Manager will define strategic goals, ensuring operational efficiency, and managing hiring and resource allocation. We are looking for a focus on innovation, process improvement, and understanding of Avalara's global priorities. What Your Responsibilities Will Be Provide strategic leadership to the Property Tax teams in India, ensuring understanding of organisational goals. Oversee the performance and scalability of teams, ensuring deadlines and Service level agreements are met. Handle hiring, workforce planning, and resource allocation to improve team capacity. Promote innovation by implementing process improvements, including automation programs. Be a primary liaison with Avalara Property Tax leadership, representing the Managed Services function in strategic discussions. Foster collaboration between teams to ensure seamless service delivery. Mentor managers and foster a high-performance, team culture. Flexibility to work Remote/Hybrid. What You'll Need to be Successful 10+ years of leadership experience in property tax, compliance operations, with a focus on strategic oversight and resource planning. Bachelor's degree in accounting, finance, or related field required; Master's degree. Expertise in strategic planning, resource management, and operational scalability. Experience implementing process improvements and driving efficiency. Experience with jurisdictional requirements in property tax compliance. Familiarity with SaaS-based solutions or large-scale tax operations. Experience leading teams and driving collaborative programs. Mentor and lead diverse teams. Experience working with global teams and aligning operations with strategic goals. Identify potential compliance risks and implement controls to mitigate them. Work with teams, including product, engineering, and customer success, to lead shared goals.

Job Area: Finance & Accounting Group, Finance & Accounting Group > Export Compliance General Summary: Export & Sanctions Compliance Specialist, Operations LocationBangalore (India) A company of inventors that unlocked 5G, ushering in an age of rapid acceleration in connectivity and new possibilities that will transform industries, create jobs, and enrich lives. Qualcomm is looking for an experienced Export Compliance professional to execute on its enterprise-wide Export & Sanctions Compliance Operations. This role will review and release physical shipment requests, provide process enhancement, and risk assessment on Operations. The candidate will collaboratively work with the global Export Compliance team and internal functional groups such as Logistics, Export Compliance Liaisons, Customs, Sales, Customer Service, Program Management, Engineering to release shipments based on established compliance processes supporting applicable export regulations. The successful candidate for this position will be an initiative-taking and highly productive individual with the ability to manage multiple initiatives, operate at the transactions, and project level. The candidate is expected to work under deadlines, prioritize projects, report status to management, be meticulous, detailed oriented, able to work independently and is highly organized. Skills and Experience Broad knowledge of export laws and regulations and best practices of export controls and sanctions of the US, Wassenaar and other countries laws such as Singapore SGCA, Germany BAFA, primarily US Department of Commerces Export Administration Regulations and US Foreign Trade. Proven experience in export transaction review, export and re-export license requirement, partner due diligence (including MEU/MIEU) and restricted party screen. Strong analytical skills, including the ability to manage data from multiple sources and interpret requirements and regulations to management and in teams settings with collaborative functional groups. Ability to develop trusting relationships across Qualcomm, including within corporate functions, business teams and external sources. Effective communication and presentation skills to convey information accurately to the cross functional groups such as Sales Operations, Logistics and Customs teams etc. Collaborate with multiple teams such as Export Compliance and Government Affairs, team members and business groups to develop and implement creative solutions. Job Responsibilities Review and manage shipment requests (sales orders/miscellaneous shipments) which meets export compliance regulation and license requirement. Agile partner distribution request review. Improve Operations process and analyze risk assessment. Execute post shipment audit and EEI audit Maintain Export & Sanctions Compliance operations standard operating procedures (SOP) to meet the most updated practice or regulation changes. Drive Operations automation projects with multiple system teams (Trade Export System, ERP, Sales Force, QSales). Minimum Qualifications: Bachelor's degree and 2+ years of Export or Sanctions Compliance, International Affairs, or related work experience. OR Associate's degree in Business Administration/Management, International Business, Law, Electronic/Telecom Engineering, or related field and 4+ years of Export or Sanctions Compliance, International Affairs, or related work experience. OR High School Diploma or equivalent and 6+ years of Export or Sanctions Compliance, International Affairs, or related work experience. *Completed advanced degrees in a relevant field may be substituted for up to two years (Masters = one year, Doctorate = two years) of work experience.

*Managing client onboarding (KYC, account opening, demat account, fund transfer) *Coordinating with broker, custodian, fund accountant *Downloading reports and preparing MIS in MS-Excel *Handling HNI client issues (need English) *Other admin work

Business Unit Controller, Finance - Corporate Accounting & Controllership Are you a finance/Accounting professional with strong interest and experience into accounting and Tax principlesIf yes, this role for our statutory controllership team holds the right opportunity to join our team and meet our purpose to inform the way forward. The jobholder is responsible in all aspects of accounting for an entity or a group of entities, work with 3rd Party providers for statutory and tax reporting, yearend submissions, and other accounting areas. The objective is to ensure compliance with Thomson Reuters Accounting policies and Local Tax & GAAP requirements. The role involves: Managing the tax compliance activities of Thomson Reuters India entities as assigned. Acting as a key contact with outsourced professional accounting and compliance service providers, tax agents and auditors. Delivering excellent tax compliance and statutory compliance operations, and financial accounting and control oversight of all assigned Thomson Reuters legal entities.The jobholder is expected to have the ability, eagerness and drive to work within a wide network of colleagues, departments and outsourced services in order to deliver a world-class accounting and compliance operation. About the Role In this opportunity as Business Unit Controller , you will be responsible for Stewardship and review of tax accounts of assigned entities for both group and local financial reporting compliance requirements. Maintenance of key SOX controls and SOX evidentiary requirements. Ensure appropriateness of controls for internal and external compliance. Monitor the month-end close process for assigned entities with respect to tax accounts and ensure that critical tax payments and computations and reconciliation obligations are met. Manage the relationship with departments of Global and Regional Tax, Business Finance, External Reporting, Internal Audit, Treasury, Finance Operations, Divisional Business Units, and external statutory auditors and outsourced professional service providers. Manage all tax compliance requirements for assigned entities, including: Oversight and review of the preparation and delivery of advance tax payments, tax returns by outsourced professional service providers or in-house tax teams. internal tax reporting; supporting tax audits, transfer pricing reviews, tax risk assessments, and implementation of tax strategies; Ensure all filing and reporting deadlines are met. Plan for and support all monthly, quarterly and year-end tax provisioning and group reporting. Take an active role in legal entity (or divisional) restructuring projects and acquisition or divestiture projects for the sub-region and ensure that entities and businesses either conform with or are integrated into Thomson Reuters accounting and finance controls and processes. Plan for and deliver all operational requirements of assigned entities within cost budgets. About You Youre a fit for the role of Business Unit Controller if your background includes Essential Technical Skills: Strong SAP (or similar ERP), and Microsoft Office skills. Strong data analytical skills and ability to translate data requirements for automation opportunities (Alteryx, Power BI or similar). Strong control mindset and risk assessment and articulation skills Professional Skills & Competencies Effective communication via emails and presentations. Ability to translate accounting and tax concepts into practical day-to-day actions. Ability to drive results and manage multiple priorities across organizational, geographical and cultural boundaries. Ability to work in an ever-changing business environment and be agile. Education/ Certifications Professional accountancy or finance qualification (CPA, CMA, CA/ICWA, MBA (Fin) or similar) with extensive post qualification experience and upward progression. #LI-SS3 Whats in it For You Hybrid Work Model Weve adopted a flexible hybrid working environment (2-3 days a week in the office depending on the role) for our office-based roles while delivering a seamless experience that is digitally and physically connected. Flexibility & Work-Life Balance: Flex My Way is a set of supportive workplace policies designed to help manage personal and professional responsibilities, whether caring for family, giving back to the community, or finding time to refresh and reset. This builds upon our flexible work arrangements, including work from anywhere for up to 8 weeks per year, empowering employees to achieve a better work-life balance. Career Development and Growth: By fostering a culture of continuous learning and skill development, we prepare our talent to tackle tomorrows challenges and deliver real-world solutions. Our Grow My Way programming and skills-first approach ensures you have the tools and knowledge to grow, lead, and thrive in an AI-enabled future. Industry Competitive Benefits We offer comprehensive benefit plans to include flexible vacation, two company-wide Mental Health Days off, access to the Headspace app, retirement savings, tuition reimbursement, employee incentive programs, and resources for mental, physical, and financial wellbeing. Culture: Globally recognized, award-winning reputation for inclusion and belonging, flexibility, work-life balance, and more. We live by our valuesObsess over our Customers, Compete to Win, Challenge (Y)our Thinking, Act Fast / Learn Fast, and Stronger Together. Social Impact Make an impact in your community with our Social Impact Institute. We offer employees two paid volunteer days off annually and opportunities to get involved with pro-bono consulting projects and Environmental, Social, and Governance (ESG) initiatives. Making a Real-World Impact: We are one of the few companies globally that helps its customers pursue justice, truth, and transparency. Together, with the professionals and institutions we serve, we help uphold the rule of law, turn the wheels of commerce, catch bad actors, report the facts, and provide trusted, unbiased information to people all over the world.

Job Opportunity : Chief Accounts & Finance Officer (C.A.) Our organization is seeking a highly qualified and experienced candidate Chartered Accountant (CA) qualification with min. 5 Years Exp. in Educational Institutions for the post of Chief Accounts & Finance Officer to lead our financial operations with integrity, strategic insight, and leadership Key Responsibilities: Oversee financial strategy, planning, and analysis Ensure regulatory compliance and risk management Lead budgeting, reporting, and audits. Location: Amrutvahini Sheti & Shikshan Vikas Sanstha, Sangamner Apply on Email: hr.executive@assvs.org Link : www.assvs.org For more information and to apply, please click the link above. We look forward to welcome a new leader for our team!

Assist Compliance Officer in compliance duties for regulations & rules issued by SEBI Monitor the resolution of client grievances for all projects Support the Compliance Officer in monitoring the compliance of Operations Provide regular reports Required Candidate profile Understanding of compliance regulations Compliance-related duties for regulations and rules issued by SEBI under KRA Regulation, UIDAI, CCA, GSTN, or the Central Government. Contact-Ankit-8104808547

Site Engineer at Dfine Art-Oversee daily site activities, ensure quality, safety, and compliance. Coordinate with team, manage resources, solve on-site issues and maintain documentation.Frequent travel required.in themed projects preferred.

Job Title: Treasury Manager Location: KK office, NSL Corporate Office Reports To: Functional Head-MIS & Treasury. Job Summary: The Treasury Manager is responsible for overseeing a team of 4-5 team members within the Treasury department, guiding them to ensure efficient management of all treasury-related functions. This role requires hands-on involvement in planning, monitoring, and executing best practices to optimize financial operations, ensure compliance, and support strategic decision-making. Key Responsibilities: Team Leadership and Development: Lead and nurture the treasury team, providing clear direction and guidance with inter department collaboration. Train the team on industry best practices to enhance skillsets and operational efficiency. Operational Oversight: Monitor the day-to-day recording of transactions with utmost accuracy. Plan funds effectively and prepare robust cash flow forecasts. Continuous coordination and communication with bank and MF for smooth flow of transactions. Compliance and Reporting: Follow up on correspondence with the Reserve Bank of India (RBI) to ensure regulatory compliance. Prepare comprehensive Treasury MIS reports for management review. Ensure adherence to audit and Internal Financial Control (IFC) guidelines for treasury operations. Investment Management: Monitor Mutual Fund (MF) returns and provide recommendations for optimal fund allocation. Monitoring of Investment agreements documentation and keeping control on the trackers. Monitoring of D-mat accounts of the companies as part of Investment strategies. Hands on with Companies Investment policies to Maximise the return on surplus funds. Communicate and coordinate with the MF relationship managers and be on top of the market trends. Reconciliation and Closures: Oversee Bank Reconciliation Statements (BRS) and ensure timely LC/BG (Letter of Credit/Bank Guarantee) monitoring as part of monthly closing. Custom Duties and Ad-Hoc Projects: Supervise the payment and tracking of custom duties. Collaborate on treasury improvement initiatives and execute special projects assigned by the Reporting Manager related to Treasury MIS. Skills and Qualifications: MBA / Semi-qualified CA or CMA/Post-graduate in Commerce with Treasury background with 10 to 15 years of experience. Proven experience in treasury management or related financial roles. Strong analytical, organizational, and leadership skills. Proficiency in using tools like Excel / Power Point/ software related to treasury operations and financial reporting. Excellent knowledge of compliance requirements (e.g., RBI guidelines) Customs/Forex Payments/D-mat Accounts Handling. Effective communication skills and ability to work collaboratively with the team, bank and MF companies.

Ensure compliance with corporate laws, including Companies Act, SEBI regulations, and FEMA guidelines. Organize board and committee meetings, including scheduling maintain statutory records and filings with regulatory bodies such as MCA, SEBI, RBI

* 3 years Bond Agreement Mandatory Roles and Responsibilities Manage contract labour management, ensuring compliance with company policies and industry regulations. Oversee Workers attendance management systems to maintain accurate records and minimize absenteeism. Ensure timely billing assurance for contractors' services rendered by verifying invoices against agreed rates. Handle complaints from employees or contractors in a fair and efficient manner, resolving issues promptly where possible. Coordinate with internal stakeholders to resolve any operational issues related to contract labour.

Roles and Responsibilities Manage contract labour management, ensuring compliance with company policies and industry regulations. Oversee attendance management systems to maintain accurate records and minimize absenteeism. Ensure timely billing assurance for contractors' services rendered by verifying invoices against agreed rates. Handle complaints from employees or contractors in a fair and efficient manner, resolving issues promptly where possible. Coordinate with internal stakeholders to resolve any operational issues related to contract labour.

Job Area: Finance & Accounting Group, Finance & Accounting Group > Export Compliance General Summary: Export & Sanctions Compliance Specialist, Operations LocationBangalore (India) A company of inventors that unlocked 5G, ushering in an age of rapid acceleration in connectivity and new possibilities that will transform industries, create jobs, and enrich lives. Qualcomm is looking for an experienced Export Compliance professional to execute on its enterprise-wide Export & Sanctions Compliance Operations. This role will review and release physical shipment requests, provide process enhancement, and risk assessment on Operations. The candidate will collaboratively work with the global Export Compliance team and internal functional groups such as Logistics, Export Compliance Liaisons, Customs, Sales, Customer Service, Program Management, Engineering to release shipments based on established compliance processes supporting applicable export regulations. The successful candidate for this position will be an initiative-taking and highly productive individual with the ability to manage multiple initiatives, operate at the transactions, and project level. The candidate is expected to work under deadlines, prioritize projects, report status to management, be meticulous, detailed oriented, able to work independently and is highly organized. Skills and Experience Broad knowledge of export laws and regulations and best practices of export controls and sanctions of the US, Wassenaar and other countries laws such as Singapore SGCA, Germany BAFA, primarily US Department of Commerce"™s Export Administration Regulations and US Foreign Trade. Proven experience in export transaction review, export and re-export license requirement, partner due diligence (including MEU/MIEU) and restricted party screen. Strong analytical skills, including the ability to manage data from multiple sources and interpret requirements and regulations to management and in teams"™ settings with collaborative functional groups. Ability to develop trusting relationships across Qualcomm, including within corporate functions, business teams and external sources. Effective communication and presentation skills to convey information accurately to the cross functional groups such as Sales Operations, Logistics and Customs teams etc. Collaborate with multiple teams such as Export Compliance and Government Affairs, team members and business groups to develop and implement creative solutions. Job Responsibilities Review and manage shipment requests (sales orders/miscellaneous shipments) which meets export compliance regulation and license requirement. Agile partner distribution request review. Improve Operations process and analyze risk assessment. Execute post shipment audit and EEI audit Maintain Export & Sanctions Compliance operations standard operating procedures (SOP) to meet the most updated practice or regulation changes. Drive Operations automation projects with multiple system teams (Trade Export System, ERP, Sales Force, QSales). Minimum Qualifications: Bachelor's degree and 2+ years of Export or Sanctions Compliance, International Affairs, or related work experience. OR Associate's degree in Business Administration/Management, International Business, Law, Electronic/Telecom Engineering, or related field and 4+ years of Export or Sanctions Compliance, International Affairs, or related work experience. OR High School Diploma or equivalent and 6+ years of Export or Sanctions Compliance, International Affairs, or related work experience. *Completed advanced degrees in a relevant field may be substituted for up to two years (Master"™s = one year, Doctorate = two years) of work experience.

Role & responsibilities: Assistance required with managing the Employee Compliance Operations and Policy and Advisory team in executing BAU Tasks, which includes: Reviewing Employee Disclosures: Examine employee disclosures of personal trading accounts and undertake necessary actions, such as initiating feed set-up formalities, account closure notifications, and performing routine follow-up on outstanding items. This includes account onboarding/set-up formalities with employees and/or brokers (e.g., completion of feed set-up consent formalities, managed account forms) and updating trackers to ensure accurate tracking of outstanding/in-progress volumes. Reviewing Post-Trade Exceptions: Identify potential non-compliance by reviewing post-trade exceptions and dispositioning such exceptions in accordance with relevant procedures while adhering to documentation standards. This involves thorough analysis and documentation to ensure compliance with regulatory requirements. Reviewing Employee Transactions: Review employee transaction confirmations and any quarterly statements requiring Employee Compliance team's review. Update employee holdings in the PTA system to ensure accurate record-keeping and compliance with internal policies. Reviewing Terminated Employee Accounts: Examine terminated employee accounts and ensure timely initiation of feed disconnection requests. This involves coordinating with relevant departments to ensure that all necessary actions are taken promptly. Resolving Personal Trading Data Issues: Resolve and reconcile any personal trading data issues, such as mismatches in account numbers or incorrect security set-ups, to address any data load errors. This requires attention to detail and effective problem-solving skills to ensure data integrity. Supporting the Employee Compliance Policy and Advisory Team: Assist in reviewing team mailboxes to ensure timely allocation of employee queries/requests based on the subject matter of the query/email. This involves prioritizing and categorizing queries to ensure efficient handling and resolution. Reviewing Mailboxes for Employee Responses: Review mailboxes to examine employee responses and update all relevant process trackers to accurately track closure/progress on outstanding items. This ensures that all actions are documented and tracked effectively. Routine Follow-Up: Conduct routine follow-up with employees for transaction confirmations and quarterly statements to ensure timely and accurate reporting. This includes maintaining communication with employees to verify transaction details and ensure compliance. This role requires a proactive approach to compliance management, strong analytical skills, and the ability to work collaboratively with global teams to ensure adherence to regulatory requirements and continuous improvement of compliance processes Preferred candidate profile: Prior experience in compliance, risk management, or a related field within the financial industry or operations background is advantageous. Strong attention to detail, analytical skills, and problem-solving capabilities. Ability to multi-task and prioritize across multiple projects and assignments; must be able to deliver and meet timelines in a fast-paced global project environment. Strong communication skills. Benefits : Fixed pay / Cab provided / Hybrid Contact : Kishore Kumar HR / kishore.kumar@russelltobin.com / 9384052856

About the RoleWe are seeking a highly experienced professional to join our Central Business Team as a Sr. Manager - Business Risk and Compliance for our Merchant Business. This critical role will serve as the primary bridge between our regulatory/compliance team and business team, ensuring our offline payment aggregator business in the Indian market operates efficiently while adhering to all relevant regulations.Key Responsibilities1. Regulatory Interpretation and Business Translation Interpret regulatory notifications and guidelines, translating them into clear, actionable business strategies. Stay abreast of emerging regulatory guidelines and business operating environments to prepare internal guidelines that mitigate potential risk scenarios. 2. Risk Assessment and Mitigation Evaluate underlying business risks and prescribe remediation frameworks that balance risk management with growth opportunities. Develop and implement risk control strategies to minimize financial and legal impacts on our merchant acquiring operations. 3. Regulatory Relationship Management Leverage and enhance existing relationships with Regulatory Bodies. Build strong working relationships with regulatory entities where absent. 4. Policy Development and Implementation Design, review, and update acquiring risk policies, ensuring alignment with industry best practices and regulatory requirements. Collaborate with internal risk, operations, and compliance teams, as well as relevant third parties, to ensure comprehensive risk policy development. 5. Strategic Risk and Compliance Advisory Support the formulation and finalization of risk and compliance strategies, providing expert guidance and recommendations to senior management. Prepare detailed documentation, conduct gap analysis, and generate reports to support risk management efforts and policy compliance. 6. Team Leadership and Development Lead projects related to risk management and compliance initiatives. Train and mentor team members on risk management best practices, fostering a culture of compliance within the organization. Qualifications Minimum of 7+ years of relevant experience in writing, deploying, and managing acquiring risk policies, preferably in a regulated entity. Master's degree in Finance, Business Administration, or related field from a Tier-I institution; advanced degree preferred. Bachelors degree from a Tier-I institution with commensurate experience and certifications will be considered as well. Proven track record as a subject matter expert in the financial services industry, with in-depth knowledge of governing regulations, reporting procedures, and record-keeping guidelines. Strong understanding of payment industry regulations and compliance requirements, particularly in the Indian market. Exposure to business operations with a growth orientation to build 'Risk and Compliance' as a strong differentiation factor. Skills and Attributes Exceptional stakeholder management, project management, and collaboration skills. Critical thinking and problem-solving abilities, with a data-driven approach to decision-making. Excellent communication skills, both written and verbal, with the ability to translate complex regulatory language into clear business terms. Strong analytical skills with the ability to foresee potential risks and develop proactive mitigation strategies. Adaptability and resilience to thrive in a fast-paced, evolving regulatory environment. What We Offer Opportunity to play a crucial role in shaping the risk and compliance strategy of a leading offline payment aggregator in India. Collaborative work environment with exposure to cutting-edge fintech solutions. Competitive salary and benefits package commensurate with experience. Professional development opportunities and potential for career growth