About the Organisation
Deven Choksey is a trusted name in Wealth Management and Investment Advisory, serving individual investors, HNIs, institutions, and family offices. Our approach blends in-depth Research with expert Advisory to drive long-term wealth creation.
About the Job
The Compliance Manager will be responsible for ensuring end-to-end regulatory, legal, and secretarial compliance for the organization. The role involves advising business teams on compliance matters, managing statutory filings, strengthening internal controls, and ensuring adherence to SEBI and other applicable regulations. This position is critical in safeguarding the organization from regulatory, legal, and operational risks.
Roles & Responsibilities
- Ensure compliance with all applicable laws, regulations, and regulatory guidelines relevant to financial services.
- Act as a key advisor to management and business teams on legal and compliance matters.
- Handle company secretarial responsibilities including board processes, resolutions, and statutory records.
- Manage regulatory filings, disclosures, and reporting to statutory authorities.
- Oversee compliance audits, inspections, and regulatory reviews.
- Identify compliance risks and strengthen internal control frameworks.
- Support litigation management, dispute resolution, and coordination with external legal counsels.
- Coordinate with internal stakeholders to ensure timely compliance across departments.
- Maintain and update compliance policies, SOPs, and internal guidelines.
- Provide compliance support for new initiatives, products, and business activities.
Skills Required
Domain Skills
- Strong understanding of legal, regulatory, and compliance frameworks applicable to financial services.
- Knowledge of company law, SEBI regulations, and corporate governance norms.
- Experience in handling compliance audits and regulatory interactions.
- Exposure to risk management and internal control systems.
Technical Skills
- Expertise in statutory filings, regulatory reporting, and documentation.
- Ability to interpret laws, regulations, and compliance requirements accurately.
- Strong drafting skills for policies, contracts, and legal documentation.
- Familiarity with compliance management tools and regulatory trackers.
Managerial Skills
- Strong stakeholder management and coordination skills.
- Ability to work closely with senior management and cross-functional teams.
- High level of attention to detail and accountability.
- Strong communication, advisory, and problem-solving skills.
Experience & Qualifications
Education: LLB / LLM and/or Company Secretary (CS).
Experience: 3–8 years of experience in legal & compliance roles, preferably in financial services.
Employment Type: Full-time.
Department: Legal & Compliance.
Hiring Type: New position.
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