Legal AND Regulatory Policies Jobs in Mumbai

Position Title: Regional Manager Collections Location: Mumbai Overview: We are seeking an experienced and performance-driven Regional Manager Collections to oversee and manage collections for 90+ DPD (Days Past Due) / NPA accounts. The ideal candidate will lead a team of field officers, team leaders, and tele-callers, ensuring collection targets are consistently met, recovery rates are improved, and operational processes are optimized. This role demands strong leadership, a deep understanding of NPA collections, and the ability to execute high-impact recovery strategies. Key Responsibilities: Manage and monitor collections for 90+ DPD accounts, ensuring monthly recovery targets are achieved Develop and implement field follow-up strategies and review logic to maximize recovery efficiency Conduct tracing and skip-tracing for unreachable or unresponsive customers Engage directly with delinquent borrowers to negotiate repayment and improve recovery on assigned portfolios Lead and motivate a team comprising team leaders, tele-callers, and field officers (FOS) across vendor locations Allocate cases efficiently based on geography, vintage, and risk profile Track collection performance through daily reports, dashboards, and regular team reviews Identify underperforming areas and implement corrective actions to improve recovery efficiency Design and roll out collections improvement initiatives based on market trends and competitor analysis Ensure compliance with regulatory guidelines and company policies related to collections Meet departmental goals on a daily, weekly, and monthly basis Requirements & Qualifications: Graduate or Postgraduate from a recognized institute Minimum 5+ years of experience as a Recovery/Collections Manager in a Bank or NBFC, with specialization in 90+ DPD/NPA collections Deep understanding of retail loan products such as Personal Loans, Solar Loans, Education Loans, Home Decor Financing, Healthcare Financing, etc. Hands-on experience with collections management tools, CRM systems, and MIS reporting Strong analytical, problem-solving, and decision-making skills Ability to work under pressure and meet aggressive targets Proven leadership abilities, strategic thinking, and people management experience Strong communication and negotiation skills Qualification : Graduate or Postgraduate from a recognized institute

Job Title: Deputy Manager IT Governance Location: Mumbai Experience: 6 10 Years Employment Type: Full-Time Education: Graduate in any discipline Designation: Deputy Manager Position Summary We are looking for a highly skilled and experienced Deputy Manager IT Governance to lead and support IT governance, risk management, and compliance initiatives. The ideal candidate will have a solid foundation in IT audit, risk lifecycle management, compliance frameworks (e.g., PCI-DSS, COBIT, NIST, GDPR), and demonstrated experience in aligning IT strategy with organizational goals. Key Responsibilities Governance, Risk & Compliance (GRC) Oversee risk assessments, remediation, monitoring, and governance activities across IT processes. Implement and manage risk mitigation plans and ensure periodic reviews of entitlement and access. Maintain risk registers and risk heat maps; track closure of identified risks within set timelines. Collaborate with cross-functional teams (IT, Legal, HR, Admin, etc.) to ensure strong internal controls. Conduct and support internal and external IT audits, including those required by CAG and under Companies Act 2013. IT Governance Framework Implementation Assist in deploying IT governance frameworks such as COBIT and ITIL to define roles, accountability, and decision-making across IT. Develop, maintain, and communicate IT policies, ensuring alignment with business objectives and compliance requirements. Contribute to lifecycle management of IT policies and procedures creation, approval, communication, and revision. Strategic Planning & Performance Management Align IT initiatives and investments with business strategy and measurable objectives. Track key IT performance indicators (KPIs) and drive value through IT performance and service delivery. Identify opportunities for continuous improvement in IT governance and operations. Compliance & Regulatory Alignment Ensure compliance with internal policies and external regulations such as GDPR, RBI, SEBI guidelines, and PCI-DSS. Provide support during regulatory audits and ensure timely closure of compliance gaps. Work on financial, HR, corporate governance, and administrative audits to ensure holistic risk coverage. Stakeholder Management & Communication Liaise with business units and senior management to communicate IT governance priorities and risks. Prepare governance meeting materials, track action items, and ensure alignment across business and IT functions. Educate internal stakeholders on risk awareness, compliance best practices, and IT governance principles. Required Experience & Skills Experience: 6+ years of experience in IT, including 3+ years in IT Governance, Risk Management, Compliance, or IT Audit. Preferred exposure to both public sector and private enterprise audits. Technical Knowledge: Deep understanding of frameworks such as COBIT, ITIL, NIST, PCI-DSS, ISO27001, SOX. Familiarity with application security, data privacy, identity & access management, and information security domains. Knowledge of GDPR, IT regulatory compliance, and internal controls. Skills: Strong communication and presentation abilities with the capability to influence stakeholders across all levels. Analytical, structured thinking with experience in MIS reporting, governance documentation, and RCA preparation. Familiarity with security incident response and entitlement management. Ability to manage cross-functional projects and drive change. Desirable Certifications (Preferred but not Mandatory) CISA, CISM, CRISC, CGEIT, ITIL, ISO 27001 Lead Auditor/Implementer, PMP Play a pivotal role in shaping IT governance and compliance frameworks. Contribute to strategic business planning by aligning IT with enterprise risk goals. Gain exposure to regulatory and statutory audit processes, including CAG and Companies Act compliance. Qualification : Graduate in any discipline

Job Title: Compliance Manager Regulatory Relationship Location: Mumbai Department: Compliance Category: Others Job Purpose We are seeking a detail-oriented and proactive Compliance Manager Regulatory Relationship to support the Compliance function by ensuring that the bank s policies, procedures, and operations align with regulatory and ethical standards. This role involves monitoring regulatory changes, reviewing internal processes, and driving compliance initiatives across departments. Key Responsibilities Manage and oversee compliance-related operations including policies, investments, and procedures. Design, implement, and monitor internal control systems to prevent and address legal or policy violations. Conduct regular assessments of compliance frameworks to enhance their efficiency and effectiveness. Identify risks and recurring issues by reviewing internal reports and procedural documentation. Conduct periodic audits of processes and maintain accurate compliance records. Develop compliance manuals, checklists, and regulatory documentation. Collaborate with department heads to review and update compliance policies across functions. Engage with senior management to drive implementation of compliance frameworks. Initiate investigations into instances of non-compliance and follow through with corrective actions. Facilitate employee training programs focused on legal and compliance standards. Supervise compliance officers and promote knowledge sharing and best practices within the team. Foster collaboration with internal stakeholders to align compliance efforts across the bank. Stay updated on evolving regulatory trends and industry best practices. Promote a culture of accountability, continuous learning, and shared ownership within the compliance team. Support in attracting, developing, and retaining top talent within the compliance function. Qualifications & Experience Educational Requirements: Graduate in any discipline (mandatory) Postgraduate degree in a relevant field (preferred) Experience: 2 5 years of relevant experience in regulatory compliance within the banking or financial services sector Qualification : Graduate in any discipline (mandatory)

Capital Markets Lawyer About the Role: We are seeking a dynamic and highly skilled Capital Markets Lawyer to join our esteemed legal team. In this full-time role, you will advise leading companies and financial institutions on a broad range of complex financial securities issues. If you are passionate about delivering excellence, going above and beyond as a trusted advisor, and creating value for clients, this is the role for you. Minimum Qualifications: LLB or LLM from a premier law school (India or abroad), with eligibility to practice in India 1 to 2 years of demonstrated success in financial securities, trading, and exchange commissions with a Tier 1 law firm Experience in Capital Markets, including IPOs, rights issues, QIPs, and preferential allotments by listed companies Key Skills: Strong oral and written advocacy skills Expertise in contract drafting and negotiation Ability to analyze and communicate complex technical matters Effective multitasker, able to manage competing deadlines and assignments Solution-oriented with a proven track record of independently closing transactions with minimal supervision Exceptional communication skills both written and verbal with the ability to communicate effectively with clients at all levels Solid understanding of various legal subjects, with the ability to identify issues and seek expert advice as needed Strong drive for technical excellence and staying updated with legal developments Key Responsibilities: Your role will involve, but not be limited to: Conducting legal research to support complex transactions and compliance matters Reviewing, drafting, and negotiating legally binding agreements on behalf of clients Advising clients on legal and regulatory issues within the Capital Markets space Negotiating contracts and providing strategic legal guidance Khaitan & Co. is renowned for its exceptional team of talented and dedicated professionals who drive the Firm forward. As an associate, you will work closely with experienced partners and senior industry professionals, benefiting from mentorship and support in your growth. We invest in the development of our people through partnerships with international human capital organizations, ensuring that our associates have access to continuous professional growth. Our progressive people policies and strategic talent initiatives create a collaborative environment focused on open and constructive communication. With rapid changes in both the global and domestic economic landscape, now is an exciting time to join Khaitan & Co. and be part of our growth story. Our Core Values: Achievement Orientation: A passion for setting and exceeding goals, ensuring timely decision-making, and delivering superior execution while maintaining compliance. Commercial Acumen: A clear understanding of the business environment with an eye for opportunities to enhance business results. Client Intimacy: A deep understanding of client needs, with a solution-focused mindset to build long-term relationships. Teamwork and Collaboration: Building strong relationships and working collaboratively within and across practices to achieve Firm objectives. Communication with Impact: Active listening and effective communication to influence decisions and establish clear channels for dialogue. People Development: Encouraging high performance through clear expectations, empowerment, and ongoing feedback/coaching to develop capabilities. Learning Agility: A passion for acquiring and sharing knowledge, best practices, and continuous learning.

Description Job Requirements Job Title Associate Compliance Place of work - Mumbai Business Unit - Retail Banking Function Compliance Job Purpose: The role entails the responsibility to support Compliance Manager in ensuring bank's policies and procedures comply with regulatory and ethical standards. It includes evaluating all current and new compliance regulations, reviewing bank's processes, and leading training sessions. Roles & Responsibilities: Tracking, monitoring, validating and responding to ad-hoc RBI queries and data requests received from RBI by coordinating with internal stakeholders. Maintain daily, weekly and monthly MIS reports on status of ad-hoc queries and data requests received from RBI. Coordinate with internal & external auditors during audits and examinations, ensuring timely and accurate communication. Coordinate with RBI and Bank s Senior Management for data requirements, meetings, and responses to draft observations, etc., during the RBI inspection. Assist in the submission of RBS data and other regulatory requirements. Coordinate with Compliance Advisory team for review of ad-hoc submission and RBI Inspection related submissions. Monitoring timely submission of Regulatory requirements. Tracking, monitoring, validating and responding to the queries and data requests received from SLBC. Maintain MIS of Incognito Visit, RBI training, internal/external training for presenting in Board, ACB and other Management Committees Obtaining the required approvals/ clarifications from the Regulators. Maintaining the records of all Regulatory/ Statutory Communications in hard as well as soft copies. Educational Qualifications: Graduate - Any Experience: Minimum of 1 -3+ years in Compliance, Audit, Risk other Support functions

Role: Business Manager Wholesale Banking Operations Function/Department: Wholesale Banking Operations Experience: 5-10 Years Education: Graduation: B.Sc, B.Tech, BCA, B.Com, BBA Post-Graduation: MBA, PGDM Job Purpose: We are looking for a Business Manager Wholesale Banking Operations to drive operational excellence, financial management, and strategic initiatives within the Wholesale Banking division. This role involves overseeing key operational functions, optimizing processes, ensuring compliance, and managing stakeholder relationships. The ideal candidate will bring strong business acumen, analytical capabilities, and leadership skills to enhance efficiency, risk management, and profitability. Key Responsibilities: Operational Management: Oversee governance of daily operations across trade finance, cash management, treasury operations, and lending. Ensure compliance with regulatory standards, risk management protocols, and internal policies. Coordinate cross-functional teams to enhance process efficiency and service delivery. Drive process automation and operational improvements to optimize performance. Strategic Planning & Execution: Collaborate with senior management to develop and implement strategic plans for Wholesale Banking. Identify growth opportunities and drive business process improvements. Monitor industry trends, regulatory changes, and technology advancements to maintain a competitive edge. Financial Management: Assist in budgeting, forecasting, and financial performance tracking for Wholesale Banking Operations. Implement cost-control measures and optimize resource allocation for profitability. Analyze operational data to provide insights for cost reduction and efficiency enhancement. Risk & Compliance Management: Implement and maintain a risk management framework to mitigate operational risks. Ensure adherence to regulatory requirements, banking laws, and internal compliance policies. Collaborate with internal audit, legal, and compliance teams to maintain effective control measures. Stakeholder Management: Liaise with Relationship Managers, Product Teams, Risk, IT, HR, and Compliance to ensure operational excellence. Act as a bridge between the Wholesale Banking Operations team and senior management. Maintain strong relationships with external stakeholders, including regulators, auditors, and vendors. Preferred Skills & Attributes: Strong knowledge of wholesale banking operations, trade finance, treasury, and cash management. Ability to analyze financial data, track KPIs, and generate actionable insights. Proficiency in risk management, compliance, and regulatory frameworks. Excellent stakeholder management and communication skills. Experience in process automation, digital transformation, and operational efficiency projects. Opportunity to work in a high-impact role within Wholesale Banking Operations. Exposure to business strategy, risk management, and financial planning. Collaborative environment with growth opportunities in a dynamic banking landscape. If you are a results-driven professional with expertise in wholesale banking operations, financial management, and risk compliance, we invite you to be part of our team and drive operational excellence and business growth! Qualification : Graduation: B.Sc, B.Tech, BCA, B.Com, BBA Post-Graduation: MBA, PGDM

Role: Business Analysis Manager Debt Management Function/Department: Debt Management Flows Experience: 6-10 Years Education: Graduation: B.Sc, B.Tech, BCA, B.Com, BBA Post-Graduation: MBA, PGDM Job Purpose: The Debt Management (DM) function has evolved into a data-driven and analytics-led domain, leveraging enhanced data capture, automated strategies, and predictive analytics. The Business Analysis Manager plays a critical role in enabling strategic decision-making by providing data-driven insights into macro and micro business trends. This role involves analyzing customer behavior, team performance, and market trends to proactively identify opportunities for improvement and risk mitigation. Key Responsibilities: Debt Management Performance & Strategy: Measure, analyze, and enhance Debt Management strategies and process improvements using MIS and KPIs. Collate, structure, and document strategic changes and impact assessments. Monitor and track Debt Management ecosystem parameters, including customers, employees, and agencies. Evaluate strategy effectiveness and recommend data-driven optimizations. Analytics & Insights for Debt Management: Utilize data analytics to drive higher resolution rates and cost-efficient debt collection. Implement risk segmentation models to predict propensity to pay and probability of default. Develop differentiated treatment models to optimize collection intensity, field operations, and contact strategies. Optimize customer interaction strategies, including right time to contact, skip tracing, and legal interventions. Drive settlement acceptance propensity models to enhance recovery rates and improve debt-sale solutions. Operational Planning & Forecasting: Forecast allocations and capacity requirements to improve debt management efficiency. Collaborate with Product, Portfolio Risk, and BIU teams to align portfolio insights with debt management operations. Track system development requirements and oversee the implementation of automated solutions. Project Management & Compliance: Lead debt management initiatives, ensuring timely execution and impact measurement. Adhere to and foster compliance with regulatory guidelines and risk policies. Support process optimization and digital transformation projects in debt management. Preferred Skills & Attributes: Strong understanding of Debt Management processes, risk segmentation, and collection strategies. Expertise in data analytics, predictive modeling, and financial risk assessment. Experience in project management, process automation, and regulatory compliance. Proficiency in MIS reporting, KPI tracking, and performance analytics. Ability to work cross-functionally with risk, product, BIU, and operational teams. Opportunity to drive strategic decision-making in a data-driven debt management function. Work in a high-impact role with exposure to advanced analytics and automation. Collaborate with cross-functional teams to enhance operational efficiency and recovery strategies. If you have a strong analytical mindset, expertise in debt management analytics, and a passion for driving process improvements, we invite you to join us in shaping the future of Debt Management through data-driven decision-making! Qualification : Graduation: B.Sc, B.Tech, BCA, B.Com, BBA Post-Graduation: MBA, PGDM

Role: Senior Specialist - Credit Administration Function/Department: Wholesale Banking Operations Experience: 10-18 Years Education: Graduation: B.Com, B.Sc, BA, BBI, BMS Post-Graduation: MBA, M.Com, MA Job Purpose: The Senior Specialist - Credit Administration plays a critical role in post-sanction credit activities for large corporates. This role ensures compliance with credit, regulatory, legal, and product guidelines while facilitating disbursement. As a key control function, the role involves extensive due diligence, credit condition monitoring, and management of limits, covenants, collateral, and documentation to safeguard the bank s interests. Key Responsibilities: Credit Administration & Compliance: Oversee a wide range of credit products, including working capital, term loans, NCDs, investment limits, portfolio buyouts, and commercial papers for large corporate and FIG segments. Ensure credit appraisals align with internal policies and RBI regulations. Verify that all conditions precedent are met before disbursement approval. Documentation & Security Management: Ensure enforceable legal documentation as per legal guidelines, including security creation (mortgages, pledges, hypothecation, etc.). Track and manage covenants, deferrals, and compliance requirements in the system. Facilitate safe custody and retrieval of loan documents for internal and external stakeholders. Stakeholder Coordination & Process Improvement: Coordinate with business teams, legal, credit, and external partners (valuation, audit, title search) to ensure timely and high-quality deliverables. Process invoices related to credit administration activities. Support internal governance initiatives to identify process gaps and strengthen controls. Regulatory Reporting & Risk Management: Ensure accurate and timely reporting of credit-related data to internal and external stakeholders. Stay updated on RBI guidelines and regulatory reporting requirements (e.g., RBS submission). Preferred Skills & Attributes: Strong expertise in credit administration, risk management, and regulatory compliance. Hands-on experience with credit operations for large corporate banking. Knowledge of legal documentation, security creation, and credit monitoring. Ability to liaise with internal teams and external agencies to drive operational excellence. Proficiency in financial reporting and governance frameworks. Play a key role in ensuring credit risk mitigation and compliance in wholesale banking. Gain exposure to large corporate credit operations and regulatory reporting. Be part of a dynamic team driving process improvements in credit administration. If you have extensive experience in credit administration, a strong understanding of compliance frameworks, and a keen eye for risk management, we invite you to be part of our team! Qualification : Graduation: B.Com, B.Sc, BA, BBI, BMS Post-Graduation: MBA, M.Com, MA

Description BMI Operational Finance team works closely with the US Operational Finance team to support all financial aspects of a project, serving as a main contact in the Financial Services departments for Global Practice and Regional Office leadership. We provide project-level support, review contracts, interpret financial implications, and ensure proper revenue recognition by applying engineering and construction accounting standards. Evaluating revenue recognition of specified divisions within the company, reviewing contracts, and interpreting financial implications, applying construction/engineering accounting standards, and analyzing project cost reports including risks/contingencies/warranty. Ensuring compliance with internal policies, SOX controls and procedures. Analyzing contract clauses, stipulations, obligations, and liabilities. Ensuring that contract terms comply with legal requirements and policies. Assist client-initiated project audits, project-specific financial audits, and the annual financial audit for the company. Create and maintain operational project financial reports for use by project teams and division leaders. Joint Venture Accounting responsibilities (Preparing Financials/Cost report/Roll forward). Creating, and presenting MIS reports/presentations to business leaders/counter parts, Business Analysis, short- and long-term forecasting and performing deep dives into business situations along with making recommendations/observations. Execute processes and tasks in support of month-end close and timely/accurate financial reporting. Prepare and enter journal entries and account reconciliations. Perform analysis on project level financials and acting as subject-matter expert of project financials. Support the worldwide monthly financial close by analyzing significant contracts and identifying their revenue results, preparing journal entries, reconciling revenue related accounts, and preparing analytics and management reporting. Present financial data to business partners and contribute meaningfully to the conversation. Manage ad hoc business requests. Qualifications Graduate in Commerce/Accounting Semi qualified Chartered Accountant/ Inter CA / CPA / CMA with 4 Years of Experience preferred 6 years professional work experience preferred, preferably in the construction/engineering industry with exposure to construction accounting guidance including ASC 606 Experience with Oracle and Microsoft applications; Excel and Power BI is preferred but not required. Must be a self motivator, detailed, well organized and have strong issue-resolution skills. Attention to detail. Excellent oral and written communication skills required. Qualification : Graduate in Commerce/Accounting

Position: Compliance Officer India Investment Advisory Compliance Team About the Role: The Compliance Officer will work closely with regional and global compliance counterparts to enhance and ensure a globally consistent Compliance framework for BlackRock s businesses in India. This role primarily supports the Private Markets strategy in India, providing compliance and regulatory coverage to an Indian AIF manager, and maintaining FPI regulations. We are looking for someone with strong regulatory and advisory compliance experience, preferably in asset management, a buy-side financial services firm, or a sell-side banking institution. Key Responsibilities: Regulatory Oversight: Be the main point of contact for SEBI regulations, particularly FPI and AIF regulations. Previous experience dealing with SEBI is preferred. Private Markets Strategy: Support the Private Markets strategy in India, including FPI and AIF-related initiatives. Compliance Policy and Procedures: Review and implement compliance policies and procedures. Advisory: Provide advice and guidance to business teams on: Compliance with local, regional, and global laws, regulations, best practices, and BlackRock s policies and procedures. BlackRock s fiduciary obligations and its commercial and business objectives. Collaboration: Work with Financial Crime, Legal, Risk & Quantitative Analysis, and other corporate functions to provide advice to investment teams. Global/Regional Initiatives: Participate in global/regional compliance initiatives to ensure global best practices and consistency. Information Barriers and Conflicts of Interest: Assist in maintaining the integrity of BlackRock s information barriers and conflicts of interest policy. Regulatory Monitoring: Monitor local and regional regulatory developments and evaluate their impact on the business. Stakeholder Liaison: Liaise with regional and global compliance and business colleagues on global initiatives. Development Value: This role offers significant importance due to its focus on India and Private Markets Investments. The candidate will gain exposure to global and regional initiatives, acquiring product knowledge and insights into cross-border legal and regulatory requirements. Knowledge/Experience: University degree in Law, Finance, Accounting, Business, or Economics (preferred). Strong understanding of the financial industry and financial products. Proficiency in Word, Excel, and PowerPoint. Understanding of financial industry regulations. Skills/Qualifications: Minimum of 7 years relevant working experience in investment or regulatory compliance in asset management, a buy-side financial services firm, or sell-side banking institution. Previous experience dealing with SEBI and knowledge of alternative investment regulations in India is preferred. Understanding of private market asset management compliance programs (e.g., controls around Insider Trading regulations and managing Conflicts of Interests). Knowledge of financial crimes such as AML and Anti-Bribery and Corruption in India. Proficiency in both written and spoken English. Strong attention to detail and organizational skills. Ability to interact and negotiate with key internal and external stakeholders. Excellent written/oral communication and interpersonal skills. Competencies: Ability to work with teams across different levels and geographies in a matrix-driven organization. Our Benefits: We offer a wide range of benefits including a strong retirement plan, tuition reimbursement, comprehensive healthcare, support for working parents, and Flexible Time Off (FTO) to ensure you stay energized and balanced in life. Our Hybrid Work Model: BlackRock s hybrid work model encourages collaboration and flexibility, ensuring our employees' growth while maintaining a culture of performance and innovation. Employees work at least 4 days in the office, with the flexibility to work from home 1 day a week. About BlackRock: At BlackRock, our mission is to help people experience financial well-being. We strive to support businesses, strengthen the global economy, and finance projects that power cities and drive innovation. Our employees are key to our success, and we re dedicated to creating an inclusive environment where colleagues are supported with networks, benefits, and development opportunities. Qualification : University degree in Law/Finance/Accounting/Business/Economics preferred.

Job Role:Investigation & Vigilance, Legal, Compliance & Secretariat Group Legal, Compliance & Secretariat Group Legal, Compliance & Secretariat ensures that the bank s interests are protected by safeguarding its reputation and capital. We work to maintain a strong standing with regulators, customers, and business partners. Upholding the values of trust and integrity lies at the heart of our business banking operations. Role: Vigilance Officer This role is critical for maintaining the security and integrity of the bank s operations. The Vigilance Officer will proactively identify and mitigate financial crime risks through branch visits, staff training programs, collateral verifications, and ensuring the effective execution of the vigilance calendar and awareness initiatives. Key Responsibilities: Conduct regular branch visits across India to assess security measures, observe operational procedures, and identify vulnerabilities related to financial crime. Prepare detailed reports summarizing observations and recommendations from branch visits. Develop and deliver training programs for branch staff on fraud prevention, Code of Conduct, regulatory compliance, and other internal policies. Perform on-site collateral verification for stressed assets to mitigate risks associated with loan defaults or fraudulent activities. Actively monitor branch activities for suspicious behavior or transactions and report potential concerns. Prepare regular reports and analyze trends to identify areas for enhanced measures or investigative actions. Drive the implementation of the vigilance calendar and organize Vigilance Awareness Week. Maintain effective communication with branches, compliance officers, and other stakeholders to ensure consistent application of processes. Requirements: 3 5 years of experience in financial crime investigation. Strong understanding of financial crime risks and banking products and services. Experience in internal audit is an added advantage. Ability to travel frequently to various branch locations. Strong analytical and communication skills. Ability to work independently and collaboratively in a team environment. Graduate/Post-Graduate degree. Technical Competencies: Proficiency in MS Excel (including macros and pivots), MS Word, and MS PowerPoint. Apply Now: We offer a competitive salary, a comprehensive benefits package, and the opportunity to grow within a dynamic environment that supports your professional development and recognizes your achievements. Qualification : Graduate/ Post-Graduate

Overview: Are you ready to take on a new challenge? Are you looking for fully remote work? Are you wanting to move away from SOX work and elevate your skill set by performing more risk-based reviews? Does the thought of joining a growing team with the opportunity to help shape it, motivate you? If you answered yes to these questions, then we have an exciting opportunity for you. DXC Technologies is hiring an IT Audit Manager within the Internal Audit group. This role will primarily support information technology, operational, and regulatory audits including advisory services across the various DXC offerings. We are seeking an IT Audit Manager with exceptional information technology and analytical skills to join our team. As a critical thinker and excellent communicator with a keen interest in improving an organization s internal control structure, you will help manage stakeholder relationships and play a key role in the full lifecycle of audits. This role does not require you to perform Sarbanes-Oxley (SOX) testing, as that is managed by a separate department. Excellent communication skills, data-driven auditing experience and the ability to partner with and influence stakeholders are essential. If you possess relevant experience with strong attention to detail and a commitment to delivering high-quality outcomes, apply today to join our team. About DXC Internal Audit The DXC Internal Audit group is undergoing a period of growth and transformation. We are looking to further develop our in-house talent to support the growing needs of DXC. DXC IA is responsible for providing audit and advisory services across the various offerings at DXC. You will be joining an international department based out of various locations. Role & Responsibilities: Manages the review of records, processes, and procedures to ensure adherence to company, regulatory and legal guidelines. Establishes and maintains an internal audit schedule to verify and examine routine organizational operations and to ensure the protection of assets. Ensures audit schedules are met in a timely manner. Supervise staff auditors (both internal staff and external co-source resources). Facilitate targeted risk assessments to determine the scope of audit projects. Perform process walk-throughs to facilitate the development of the audit scope and approach during the planning phase. Oversees the analysis of data obtained during an audit assignment to ensure the adequacy of business controls and integrity of reported data. Reviews audit records and advises management when business practices are not in compliance with laws or fail to provide necessary controls and factual records; makes recommendations as appropriate. Facilitate/Execute/conduct technology, regulatory, and operational audits, which include the testing of internal controls and business-related processes. Maintains working papers, schedules, and reports of audit activities; coordinates activities with outside independent auditors to ensure that the job is completed according to budget. Develops, recommends, and implements auditing policies, programs, and procedures to ensure complete and factual reviews of routine business operations. Provides real-time feedback and training to enhance team performance, development, and work product. Addresses performance issues and makes recommendations for personnel actions. Researches and stays abreast of current audit concepts and methods. Job Requirements: Bachelor s degree in a business-related field, preferably with a concentration in Information Technology, Accounting, or Finance CISA, CIA or CISSP required Demonstrate a high level of integrity and sound independent judgement Strong analytical and organizational skills with the ability to collect, organize, analyze, and disseminate significant amounts of information with attention to detail and accuracy Information Technology/Auditing background with 7 12 years of experience in internal controls, consulting, advisory, and professional services. Big-4 experience required Four or more years of leadership or supervisory experience Sound technical understanding and the ability to learn new concepts quickly Advanced experience working with common operating systems, business applications and relational database systems (Information Technology audits) Demonstrated success in people management and mentoring Ability to multi-task, work effectively in a team-oriented environment as well as independently Excellent analytical, technical, and problem-solving skills Exceptional verbal and written communication, collaboration, and time management skills Able to identify and summarize audit issues, as well as create meaningful and succinct audit reports Ability to lead and work in a remote team environment Preferred Qualifications: Prior Big Four experience required and must be in current role Technology industry experience Financial Audit experience Experience with data analytics and visualization software Additional language skills Good personal computer and business solutions software skills Good negotiation skills Willingness to travel Qualification : Bachelors degree in a business-related field, preferably with a concentration in Information Technology, Accounting, or Finance

Company Secretary Location: Mumbai | Qualification: CS (Company Secretary) | Experience: 2 5 years of relevant experience Job Overview We are seeking a proactive and detail-oriented Company Secretary to manage corporate governance, compliance, and secretarial functions. The ideal candidate will have experience in listed companies, SEBI compliance, and corporate legal matters, ensuring timely and accurate statutory filings and adherence to regulations. Key Responsibilities ROC Compliance: Ensure timely filing, registration, and submission of documents, forms, returns, and applications with the Registrar of Companies (ROC). Governance: Convene and manage Board Meetings and General Meetings/Postal Ballots, including all pre- and post-meeting formalities. Regulatory Oversight: Independently handle all SEBI compliances and regulatory filings for stock exchanges. Entity Management: Oversee the incorporation and formation of Companies and LLPs, and manage secretarial and compliance audits. Legal Drafting: Draft, review, and vet contracts, legal agreements, deeds, and other corporate documents. Statutory Reporting: Prepare and compile Annual Reports and other mandatory statutory documentation. Capital Markets: Manage formalities for loans against shares; experience in IPO/FPO/Private Placement is preferable. Skills & Competencies Legal Expertise: Strong knowledge of corporate laws, SEBI regulations, and stock exchange compliance. Operational Independence: Ability to work independently and manage multiple complex compliance tasks. Communication: Excellent organizational and team leadership skills with a proactive approach to problem-solving. Industry Experience: Prior experience in listed companies and public offerings is a significant plus. Qualification : CS (Company Secretary)

Operations Executive Experience: 0 - 3 Years Location: Mumbai About the Role We are seeking a motivated and detail-oriented Operations Executive to join our team in Mumbai. As part of the operations team, you will play a key role in supporting the foreign exchange (Forex) and remittance processes, ensuring compliance with policies, and providing efficient service to clients. This is an excellent opportunity to gain hands-on experience in a dynamic financial services environment. Key Responsibilities Forex & Remittance Operations: Ensure adherence to all policies and compliance requirements related to Foreign Exchange (Forex) and remittance business operations. Handle activities related to Forex buying and selling, as well as remittance processing. Bank Reconciliations & Query Handling: Manage bank reconciliations, address any queries related to Forex transactions, travel cards, and remittance services, and provide timely resolutions to customer inquiries. Branch Operations Support: Support day-to-day branch operations, ensuring that processes are followed as directed by senior associates, Branch Manager, or Operations Manager. Transaction Entry & Timeliness: Ensure timely entry of transactions into the ERP system and maintain turnaround times (TAT) in line with service expectations. Compliance & Audit: Address compliance and audit queries efficiently, ensuring all records and transactions are fully compliant with internal policies and regulatory guidelines. Customer Support: Provide high-quality support to clients, addressing their needs with a sense of urgency and ensuring smooth operational workflows. Qualifications Education & Experience Education: Bachelor s degree in Finance or a related field (any degree also considered). Skills Basic understanding of the Forex market and remittance operations. Strong Microsoft Excel skills for data management and reporting. Strong attention to detail and ability to handle complex queries. Excellent communication skills, both written and verbal. Ability to handle client queries and concerns with professionalism and a sense of urgency. Preferred Skills Experience dealing with exchange terminals is a plus. Personal Attributes Strong sense of ethics, integrity, tact, and diplomacy. Proactive and collaborative mindset with good coordination skills. A dynamic work environment with opportunities for professional growth and skill development. Exposure to the Forex and remittance industry, providing valuable experience in financial operations. A collaborative and supportive team culture. Qualification : Bachelors degree in Finance or a related field (any degree also considered)

Position: Compliance Executive Location: Mumbai Qualification: Graduate Experience: 0 to 2 years Job Description: As a Compliance Executive, you will play a key role in supporting the compliance function within the organization. You will assist in maintaining regulatory adherence, supporting internal policy development, and ensuring that all compliance activities are efficiently tracked and documented. Key Responsibilities: Regulatory Compliance: Track and maintain an updated repository of RBI circulars, notifications, and guidelines that affect NBFCs. Assist in managing compliance checklists and ensure adherence to internal and regulatory timelines. Monitoring & Reporting: Support compliance testing efforts and help identify any gaps or deviations in compliance practices. Prepare and assist in generating compliance status reports and dashboards for internal review. Draft and maintain periodic compliance notes and reports. Policy & Documentation Support: Help in drafting, reviewing, and updating policies, Standard Operating Procedures (SOPs), and compliance manuals. Ensure all compliance-related documents are kept up to date. RBI Correspondence: Assist the Chief Compliance Officer (CCO) in compiling data and preparing documentation for RBI queries, inspections, and supervisory visits. Coordinate internally to gather data for compliance submissions and ensure timely follow-ups. Training & Awareness: Support compliance awareness programs across departments by helping organize training sessions and facilitating internal communications regarding compliance updates. Key Qualifications & Skills: Basic understanding of RBI regulations relevant to NBFCs. Proficiency in MS Excel, Word, and PowerPoint for handling data and preparing reports. Strong attention to detail, particularly in documentation and follow-ups. Good communication skills and the ability to analyze compliance-related issues effectively. Qualification : Graduate

Principal Infrastructure Operations & Services Location: Mumbai Skill Category: IT / Technology Work Type: Full-Time Company Overview Nomura is a global financial services group with an integrated network across ~30 countries. By connecting markets East & West, Nomura serves individuals, institutions, corporates, and governments through Wealth Management, Investment Management, and Wholesale (Global Markets and Investment Banking). Founded in 1925, the firm is built on a tradition of disciplined entrepreneurship and considered thought leadership. Nomura Services India (Powai) supports global operations with world-class capabilities in trading support, research, IT, financial control, operations, risk management, and legal support. The Powai operation plays a critical role in facilitating Nomura s global business growth. Role Overview The Principal Infrastructure Operations & Services role focuses on Identity and Access Management (IAM), particularly Multi-Factor Authentication (MFA) systems. You will drive MFA implementation and migration projects, serve as a subject matter expert (SME), and ensure security and regulatory compliance across the organization. Key Responsibilities MFA Implementation & Migration Lead the migration from Cisco DUO and RSA SecurID to Microsoft Authenticator. Ensure minimal service disruption and optimal user experience during migrations. Technical Expertise & Support Act as SME for MFA technologies, including Cisco DUO, RSA SecurID, and Microsoft Authenticator. Provide technical guidance, integration support, and troubleshooting expertise. Design & Architecture Collaborate with architecture teams to design robust MFA solutions aligned with security requirements and industry regulations. Ensure solutions are scalable, secure, and compliant. Policy Development Develop and enforce MFA policies and procedures following organizational security frameworks and best practices. User Training & Support Conduct training and provide ongoing support for internal teams and end-users on MFA tools and processes. Monitoring & Reporting Implement monitoring solutions to track MFA usage and performance. Generate reports for management highlighting effectiveness and improvement opportunities. Risk Assessment Conduct risk assessments related to identity and access management. Identify vulnerabilities and propose remediation strategies to mitigate risk. Qualifications & Requirements Bachelor s degree in Computer Science, IT, or related field; Master s preferred. Minimum of 10 years of experience in Identity and Access Management, focusing on MFA solutions. Proven experience in financial institutions with strong understanding of regulatory and security requirements. Hands-on expertise with Cisco DUO, RSA SecurID, and Microsoft Authenticator, including migration projects. Strong knowledge of identity protocols (SAML, OAuth, OpenID Connect) and enterprise security frameworks. Excellent analytical, problem-solving, and communication skills. Relevant certifications such as CISSP, CISM, or CISA are highly desirable. Why Join Nomura This role offers an opportunity to lead critical IAM and MFA initiatives in a global financial institution, ensuring robust security, compliance, and seamless user experience. You will work at the forefront of identity security technologies while influencing enterprise-wide security strategy. Qualification : Bachelors degree in Computer Science, IT, or related field; Masters preferred

Job Title: Manager Compliance Location: Mumbai Experience: 1 3 Years Position Overview: We are seeking a highly motivated and detail-oriented Compliance Manager to join our team in Mumbai. This role will be responsible for ensuring full compliance with FEMA, RBI, and other regulatory guidelines, while proactively managing risk and maintaining robust internal controls. The ideal candidate will have a strong understanding of foreign exchange regulations, compliance frameworks, and risk assessment processes. Key Responsibilities: Ensure compliance with FEMA, RBI, and other applicable regulatory requirements for all foreign exchange operations Conduct risk assessments for foreign exchange products and transactions, identifying and mitigating potential compliance risks Implement and manage risk management frameworks, policies, and internal controls Oversee AML (Anti-Money Laundering) and KYC (Know Your Customer) compliance, including customer risk assessments and due diligence Prepare and submit timely and accurate regulatory reports to relevant authorities Monitor and update internal policies to remain compliant with evolving regulations and industry standards Serve as a point of contact for compliance-related queries from internal stakeholders, providing expert guidance Coordinate with regulatory bodies and auditors during inspections, reviews, and compliance audits Key Requirements / Skills: In-depth knowledge of FEMA, RBI guidelines, and foreign exchange regulations Experience in compliance, risk management, regulatory reporting, and data security Strong analytical and problem-solving skills with a keen eye for regulatory detail Ability to interpret complex regulatory requirements and design/implement necessary compliance controls Excellent communication and stakeholder management skills Proven ability to work independently and collaboratively across departments Preferred Qualifications: Degree in Finance, Law, Compliance, or a related field Prior experience in banking, NBFCs, forex, or financial services industry Qualification : Degree in Finance, Law, Compliance, or a related field

Position: Compliance Location: Mumbai About Groww Mutual Fund Groww Mutual Fund, formerly Indiabulls Mutual Fund, offers a diverse range of mutual fund schemes tailored to meet the unique needs and financial goals of investors. Backed by Groww Invest-Tech Private Limited, we provide a mix of equity, debt, and hybrid funds. Our core values revolve around simplicity, transparency, and a relentless focus on long-term wealth creation. We seek out investment opportunities that combine robust growth potential with sound fundamentals, ensuring our investors financial goals are met with clarity and precision. Our Mission Our primary goal is to generate steady, long-term wealth for our investors. We are committed to identifying new opportunities and designing innovative schemes that help our investors capitalize on growth prospects, all while maintaining a strong focus on consistency and risk management. What We Stand For Simplicity & Transparency: We communicate with investors in a clear, jargon-free manner, ensuring 100% transparency in performance, strategy, and challenges. Consistent Wealth Creation: We prioritize sustainable wealth growth, carefully selecting assets that consistently deliver long-term returns. Customer-Centric Approach: Every decision we make is focused on the needs of our investors. From personalized products to ongoing support, we put our customers at the core of everything we do. Innovation: We re constantly evolving our offerings to meet diverse risk appetites, time horizons, and liquidity needs. Our team is driven by a spirit of passion, commitment, and innovation, and every member takes ownership in shaping the future of wealth management. If you're looking to join a dynamic environment that challenges the status quo, we d love for you to be part of our journey. Role Overview As a Compliance professional, you will be responsible for managing and overseeing compliance-related activities at Groww Mutual Fund. You will work closely with various departments to ensure adherence to SEBI, AMFI regulations, and internal policies, while ensuring that all reporting and surveillance systems are functioning seamlessly. Key Responsibilities Daily Compliance Operations: Manage day-to-day compliance activities, including ad-hoc reporting in line with SEBI and AMFI regulations. Policy Management: Review and prepare compliance-related policies and procedures for annual review. Audit Coordination: Coordinate with internal auditors to facilitate compliance audits. Regulatory Reporting: Ensure compliance with PMLA guidelines, including STR reporting. Surveillance System Review: Review alerts generated from surveillance systems and investigate as necessary. Tracker Maintenance: Maintain trackers for daily SEBI recovery orders and folio freezing orders, ensuring prompt and accurate action. PIT Compliance: Track and manage PIT (Prohibition of Insider Trading) approvals. Website Compliance Monitoring: Ensure compliance with regulatory requirements concerning website content. Marketing Material Compliance: Support the compliance review and clearance of marketing materials. Policy Tracker & Compliance Review: Maintain an up-to-date policy tracker and ensure all policies are in compliance. Committee and Board Support: Assist in preparing agendas and documentation for compliance-related committee and board meetings. Required Skills & Expertise Education: Bachelor's degree in Business Administration, Law, Finance, or a related field. Advanced degrees are a plus. Experience: Minimum 4 years of experience in compliance, regulatory affairs, or a related field. Knowledge: Strong understanding of SEBI, AMFI regulations, and PMLA guidelines. Analytical Skills: Strong attention to detail and excellent analytical thinking capabilities. Communication: Effective verbal and written communication skills, capable of conveying complex compliance concepts clearly. Technical Proficiency: Proficiency in Microsoft Office Suite and relevant compliance software tools. If you have a strong regulatory background, attention to detail, and a passion for maintaining high compliance standards, we invite you to apply and join a forward-thinking team that s making a real impact in India s wealth management industry. Qualification : Bachelor's degree in Business Administration, Law, Finance, or a related field

Senior Compliance Specialist Location: Mumbai Industry: IT Services Department: Accounts & Finance Experience: 4 5 years About the Role Vertoz is seeking a Senior Compliance Specialist with in-depth knowledge of both Indian and U.S. compliance frameworks. This role is crucial to ensuring that our organization adheres to all statutory regulations and best practices in our global operations. About Vertoz Vertoz (NSEI: VERTOZ) is a cutting-edge AI-powered MadTech & CloudTech platform offering solutions in Digital Advertising, Marketing, Monetization, Digital Identity, and Cloud Infrastructure. We serve a diverse clientele, including businesses, digital marketers, advertising agencies, cloud providers, and publishers. Key Responsibilities India Statutory Compliance Ensure timely filing and payment of GST, TDS, Income Tax, and ROC/MCA filings. Keep systems and records aligned with current Indian regulatory updates. Ensure compliance with Indian labor laws (PF, ESI, PT, Gratuity, Shops & Establishments Act, etc.). Liaise with government departments (EPFO, ESIC, GST, IT) during audits, assessments, and inspections. U.S. Statutory Compliance Ensure adherence to U.S. federal, state, and local employment and tax regulations. Handle statutory filings such as W-2, W-9, 1099, Social Security, and Medicare. Manage state tax ID registrations/renewals and unemployment insurance filings. Collaborate with U.S. accounting/legal teams for IRS and franchise tax filings. Support audits and compliance reviews at the federal and state levels. General Compliance Oversight Maintain a detailed compliance calendar to meet all filing deadlines. Support internal and external audits with proper documentation. Draft and implement compliance SOPs to improve internal controls. Stay up to date with legal and regulatory changes in India and the U.S. and recommend relevant updates. Maintain secure and organized records of all compliance documents. Required Qualifications Bachelor s or Master s degree in Commerce, Finance, or Accounting. Preferred: Inter CA, CMA, or specialization in International Taxation. 3 5 years of experience in Indian compliance (PF, ESI, TDS, GST, ROC, etc.). 1 2 years of experience in U.S. compliance (IRS filings, payroll taxes, W-2, 1099, etc.). Experience with audits, inspections, and statutory filings in India and the U.S. Prior exposure to multinational or shared services environments is a plus. Proficient in tools like Oracle, SAP, Tally, Zoho Books, and ADP. Familiarity with statutory portals such as MCA, GSTN, and IRS. Perks & Benefits No dress code Flexible working hours 5-day work week 24 annual paid leaves International work exposure Regular team celebrations & outings Qualification : Bachelors or Masters degree in Commerce, Finance, or Accounting

Job Title: Associate Underwriting Location: Mumbai, India Company: Oakbrook (Part of Blenheim Chalcot Portfolio) Experience: 1 3 Years Industry: FinTech | Lending | Underwriting Employment Type: Full-Time About the Role: We are looking for a highly analytical and detail-oriented Associate Underwriting to join Oakbrook India, a FinTech venture within the Blenheim Chalcot ecosystem. You will play a critical role in supporting loan underwriting processes, document verification, and financial data analysis to ensure accurate risk assessment and timely decisions. You ll gain exposure to next-gen GenAI-enabled processes and will work in a fast-paced, agile, and collaborative environment, contributing directly to the future of digital lending. Key Responsibilities: Review loan applications and verify customer documentation for completeness and accuracy. Analyze financial statements, bank statements, credit reports, and related documents to assess creditworthiness. Prepare detailed customer risk profiles and support the underwriting team in decision-making. Identify discrepancies or red flags and escalate as required. Ensure compliance with internal policies and lending regulations. Collaborate with cross-functional teams including Customer Service, Risk, and Operations. Support process enhancements through automation and tech-driven tools including GenAI. Maintain accurate and well-documented audit trails of decisions and processes. Must-Have Skills: Experience in document verification and financial data analysis (bank statements, credit reports, income data, etc.). Strong understanding of lending operations and underwriting processes, especially for UK/US clients. Analytical thinking and decision-making ability with attention to detail. Good-to-Have Skills: Familiarity with GenAI tools or automation platforms in financial workflows. Clear stakeholder communication and reporting abilities. Proficient in MS Office tools, especially Excel. Qualifications: Graduate or Undergraduate from a recognized university. 1 3 years of experience in FinTech, lending, or mortgage operations, ideally with UK/US-based clients. Exposure across the lending customer lifecycle (call center, back office, retention) is an advantage. Strong documentation, compliance, and reporting awareness. What We Offer: Competitive compensation based on experience. Opportunity to work with global teams and FinTech leaders. Be part of Blenheim Chalcot, the world s leading digital venture builder. Exposure to the latest in GenAI and automation technologies. Private medical insurance for you and your family. Life insurance coverage. Vibrant work culture with regular social events and team activities. About Blenheim Chalcot: Blenheim Chalcot has been building disruptive businesses for over 26 years across FinTech, EdTech, HealthTech, Media, and more. Our India team is central to our innovation and success, supporting a diverse portfolio of ventures. We re not just investors we build businesses from the ground up, supporting them with strategic expertise and execution capabilities in technology, growth, talent, finance, and legal. If you have an eye for detail, love working with financial data, and want to be part of a purpose-driven FinTech team, we want to hear from you.