About Services Vault Careers
Waterfield logo logo logo
UHNW Event Calendar 2025 Contact Us close
Overview Leadership Brand Story Pressclub ESG
menu
(₹ 100 CR & ABOVE)
Family Office Advisory
Investment Advisory

Holistic & unbiased advice to protect & grow your wealth

Succession

Personalized succession plan crafted for an enduring legacy

Governance

Rich insights to govern the functioning of your family's affairs

Philanthropy

Impact driven solutions to support the causes you care about

menu-arrow
(₹ 5 CR TO ₹ 100 CR)
Personal Wealth Management
Investment Advisory

Independent and impartial advice tailored to your needs

Estate Plan & Wealth Transfer

Ensuring seamless migration of your wealth

Philanthropy & Impact

Helping you navigate the complexities of giving

Analytics & Reports

Access to trusted insights and your wealth 24x7

Exclusive Strategies
Founders Circle
Waterfield Foundation
Discretionary Investment Services
HERitage - Exclusively For Women
Fund of Funds
Global Family Office Advisory
Setting Up a Family Office
Smart Beta
close
Contact Us

Your legacy awaits



Topic of Enquiry*:




How did you discover Waterfield?








*Kindly note that this form does not operate as a job portal, and the HR Team will not receive information regarding your candidature
btn arrow
Follow Us
linkedin youtube twitter instagram
Offices
Mumbai

142, 14th Floor, Maker Chambers VI, Nariman Point, Mumbai - 400021

7, Avighna House, 82, Dr. Annie Besant Road, Worli Naka, Siddharth Nagar, Worli, Mumbai, Maharashtra 400018

SEBI Office: Plot No. C4-A, 'G' Block, Bandra-Kurla Complex, Bandra(East), Mumbai - 400051

Noida

14th & 18th Floor, Berger Delhi One, Sector 16B, Noida, Gautam Budh Nagar – 201301

SEBI Office: NBCC Complex, Office Tower-1, 8th Floor, Plate B, East Kidwai Nagar, New Delhi – 110023

Bengaluru

Level 5, No. 501, Prestige Garnet, 36, Ulsoor Road, Bengaluru – 560042

SEBI Office: 2nd Floor, Jeevan Mangal Building, No.4, Residency Road, Bengaluru - 560025

Chennai

Workafella No.10, Uthamar Gandhi Salai, Nungambakkam High Road, Nungambakam, Chennai - 600034

SEBI Office: 7th Floor, 756-L, Anna Salai, Chennai - 600002

Goa

Unit No. 701, A Wing, 7th floor, Sunteck Kanaka Corporate Park, Patto, Panjim, Goa - 403001

SEBI Office: 6th Floor, EDC House, Atmaram Borkar Road, Panaji - 403001, Goa

Pune

1-111, Raheja Woods 8, Central Avenue, Kalyani Nagar, Pune, MH 411006

SEBI Office: Plot No. C4-A, 'G' Block, Bandra-Kurla Complex, Bandra(East), Mumbai - 400051

Kolkata

916, PS Arcadia, Level 9, 4A, Camac Street, Kolkata 700016

SEBI Office: L&T Chambers, 3rd Floor, 16 Camac Street, Kolkata - 700017, West Bengal

Gujarat

GA-04, Block15, Ground Floor, Pragya Accelerator, Rd 1C, Gift City, Gandhinagar - 382355, Gujarat

About
UHNW Event Calendar 2025 New
Personal Wealth Management (₹ 5 Cr to ₹ 100 Cr)
Family Wealth Advisory (₹ 100 CR & ABOVE)
Exclusive Strategies
Founders Circle New
Waterfield Foundation
Discretionary Investment Services
HERitage - Exclusively For Women
Vault
Careers
Contact

Manager - Compliance

Mumbai

Job Role

  • Conduct reviews of guidelines prescribed by regulators(RBI, SEBI, IRDAI).
  • To understand the regulatory risk across different businesses and execute controls.
  • Identify issues impacting risks under review, evaluate the efficiency of existing controls, and present sustainable compliance controls.
  • Compliance across the length and breadth of the Wealth Management business including Compliance in PMS/MF/AIF.
  • Ability to do multiple reviews while maintaining a high degree of accuracy and attention to detail.
  • Prepare effective and timely reports for senior management.
  • Computation of compliance risk score and preparation of presentations for Risk Committee.

Skill Set Preferred

  • Analytical mindset, Good Drafting, and exceptional communications skills. Strong IT skills, Critical thinker, and problem solver.

Ideal Candidate

  • The ideal candidate would be a qualified Company Secretary with 3-6 years of experience within the wealth management or BFSI domains. This role requires working in a hybrid format and hence candidates MUST be based in Mumbai.
To Apply, email us at [email protected]
Contact Us

Your legacy awaits



Topic of Enquiry*:




How did you discover Waterfield?








arrow arrow
*Kindly note that this form does not operate as a job portal, and the HR Team will not receive information regarding your candidature
Follow Us
linkedin youtube twitter instagram
Follow Us
linkedin youtube twitter instagram
Offices
Mumbai

142, 14th Floor, Maker Chambers VI, Nariman Point, Mumbai - 400021

7, Avighna House, 82, Dr. Annie Besant Road, Worli Naka, Siddharth Nagar, Worli, Mumbai, Maharashtra 400018

SEBI Office: Plot No. C4-A, 'G' Block, Bandra-Kurla Complex, Bandra(East), Mumbai - 400051

Noida

14th & 18th Floor, Berger Delhi One, Sector 16B, Noida, Gautam Budh Nagar – 201301

SEBI Office: NBCC Complex, Office Tower-1, 8th Floor, Plate B, East Kidwai Nagar, New Delhi – 110023

Bengaluru

Level 5, No. 501, Prestige Garnet, 36, Ulsoor Road, Bengaluru – 560042

SEBI Office: 2nd Floor, Jeevan Mangal Building, No.4, Residency Road, Bengaluru - 560025

Chennai

Workafella No.10, Uthamar Gandhi Salai, Nungambakkam High Road, Nungambakam, Chennai - 600034

SEBI Office: 7th Floor, 756-L, Anna Salai, Chennai - 600002

Goa

Unit No. 701, A Wing, 7th floor, Sunteck Kanaka Corporate Park, Patto, Panjim, Goa - 403001

SEBI Office: 6th Floor, EDC House, Atmaram Borkar Road, Panaji - 403001, Goa

Pune

1-111, Raheja Woods 8, Central Avenue, Kalyani Nagar, Pune, MH 411006

SEBI Office: Plot No. C4-A, 'G' Block, Bandra-Kurla Complex, Bandra(East), Mumbai - 400051

Kolkata

916, PS Arcadia, Level 9, 4A, Camac Street, Kolkata 700016

SEBI Office: L&T Chambers, 3rd Floor, 16 Camac Street, Kolkata - 700017, West Bengal

Gujarat

GA-04, Block15, Ground Floor, Pragya Accelerator, Rd 1C, Gift City, Gandhinagar - 382355, Gujarat