Compliance jobs within Financial Services

Compliance Officer

The Compliance Officer will play a critical role in ensuring adherence to regulatory requirements and internal policies within the financial services industry. This position focuses on maintaining compliance frameworks and managing risks effectively in the trading sector.

The VP - Compliance Testing & Regulatory Compliance will oversee compliance testing and ensure adherence to regulatory requirements within the financial services. This role is based in Mumbai and requires expertise in compliance testing and Regulatory.

The Compliance Officer will be responsible for ensuring that all regulatory and legal requirements are met within the banking and financial services department. This role demands expertise in compliance processes and a strong understanding of the business services industry.

The Head of Compliance role in the Banking & Financial Services department requires expertise in managing regulatory frameworks and ensuring adherence to industry standards. This position is ideal for professionals with a strong background in compliance within the business services sector.

Candidates with a CS/LLB qualification and 3-6 years PQE, with strong experience in regulatory compliance, audits, and filings across global frameworks, should apply.

As a Manager/Lead - Regulatory Compliance, you will oversee compliance frameworks and ensure adherence to regulatory requirements within the technology and telecoms industry. This role offers an opportunity to contribute to the smooth functioning of banking and financial services operations.

The SVP - Compliance Operations will oversee and ensure adherence to regulatory requirements within the NBFC industry This role requires a strong understanding of compliance frameworks and the ability to lead operational excellence in a Mumbai-based environment.

Leads a global compliance services practice across asset management, banking, and private markets, driving strategy, growth, and client engagement. Designs scalable offerings in AML, KYC, regulatory reporting, and investment compliance, oversees global delivery, and promotes AI-driven solutions while managing senior client relationships, P&L, and teams.

The Compliance Lead will oversee regulatory compliance for Portfolio Management Services (PMS) and Alternative Investment Funds (AIF), ensuring adherence to SEBI regulations and internal governance standards while supporting business growth

Finance, Accounting & Tax Responsibilities:
* Oversee fund accounting and reporting, coordinating with third-party administrators.
* Review and approve financial statements for the fund, GP, and co-investment vehicles.
* Manage capital call and distribution processes, ensuring accuracy and timeliness.

Candidates with a CS or equivalent qualification and 3-6 yrs PQE, with strong experience in KYC/investor due diligence, corporate governance and excellent written/communication skills, should apply.

Candidate with an LL.B qualification and 10-15 yrs of PQE, with strong experience in regulatory governance and compliance frameworks across global juridications for a fast‑paced financial services organisation in Pune should apply

This role focuses on supporting fund accounting and operations for semi-liquid wealth vehicles, including NAV delivery, audits, and regulatory reporting. It involves close coordination with fund administrators, portfolio teams, and finance leadership to ensure accurate financial records and compliance.

This role involves leading accounting, operations, and reporting for semi-liquid wealth management funds, including SEC-registered and UCITS structures. It requires strong expertise in regulatory reporting, fund operations, and coordination with global teams across finance, portfolio, and compliance functions.

The Chief Information Security Officer (CISO) will be responsible for overseeing and implementing the organisation's information security strategy, ensuring the protection of data and compliance with relevant security standards. This role is a key leadership position within the technology team, focused on safeguarding critical assets and enabling secure business operations.

This role involves supporting private fund accounting, reviewing NAVs, financial statements, and investor reporting activities from a global capability center. It requires close coordination with fund controllers, tax advisors, auditors, and investor relations teams to ensure accurate financial reporting and compliance.

This role involves leading fund accounting, financial reporting, and investor-related activities for private fund vehicles from a centralized global capability center. It includes oversight of NAV approvals, liquidity management, compliance, and coordination with global stakeholders including auditors, tax teams, and investor relations.

The SVP Global Payroll will oversee and manage payroll operations for a global workforce, ensuring compliance with international regulations and efficient payroll processes. This position requires expertise in payroll systems, process optimization, and a strategic approach to human resources in the financial services consultancy industry.

The role of Executive Director, OTCR, Technology Resilience is to lead and oversee the operational technology and cyber resilience initiatives within the banking and financial services sector. This position requires expertise in developing strategies, ensuring compliance, and mitigating risks to maintain a secure and resilient technology infrastructure.

This role would require the incumbent to manage end-to-end operations for PMS (Portfolio Management Services), ensuring efficient fund administration, regulatory compliance, and seamless coordination with internal and external stakeholders.

Candidate with a CS qualification and 13-15 yrs of PQE in company secretarial, or regulatory compliance roles within BFSI / Fintech, currently based in Noida or open to relocation, should apply.

The Finance Manager will be a part of the Finance and Operations team responsible for fund management, accounting, audit, valuation, taxation, finance operations, reporting and compliance and related matters.

This role focuses on managing US tax compliance and reporting processes within the financial services industry, specifically fund management. The successful candidate will ensure adherence to regulatory requirements while supporting tax planning and optimization initiatives.

The Assistant Manager - Base Metals will oversee and manage activities related to base metals within the brokerage sector, ensuring smooth operations and compliance with industry standards. The role is based in Mumbai Suburban and requires strong expertise in financial services and base metals trading.

A 12‑month secondment opportunity for a mid‑level Legal Counsel to support a fast‑growing fintech, focusing on commercial contracting, data privacy, and regulatory compliance.
The role involves advising internal teams, ensuring adherence to data protection and RBI guidelines, and supporting audits and regulatory interactions.

This role oversees all non‑AML regulatory compliance for the payments business, ensuring effective grievance handling, robust compliance programs, and timely regulatory reporting. It also serves as the primary liaison with the RBI, leading cross‑functional coordination to address regulatory requirements, escalations, and information security matters.

Candidates with 6-9 years of PQE as a Company Secretary, executing end‑to‑end secretarial functions, ensuring strong corporate governance and regulatory compliance in the BFSI space for a fast-paced global financial services group should apply.

The Production Support Lead will ensure stability, reliability, and performance of critical banking applications, while driving seamless production support, issue resolution, and system operations including settlements and backup/recovery. The role also focuses on governance, compliance, and establishing robust processes and documentation standards.

Reporting to the Director, Finance Private Equity the Manager will be responsible for supporting and managing aspects of the Financial Reporting function of the BBU group of entities, ensuring accuracy, compliance, and efficient financial operations. The Manager will work closely with internal stakeholders to deliver high quality outputs and support the growing needs of the underlying business.