Compliance Manager - Global Financial Services - Mohali - 15+ Years

Job Title: Compliance Manager - Global Financial Services - Mohali - 15+ Years

Location: Mohali

Summary:

As a Compliance Manager, you will be responsible for managing and overseeing the global compliance framework of a multinational financial services organization and its group entities across multiple jurisdictions. This role plays a critical part in ensuring that all regulated entities operate in full compliance with applicable laws, regulatory requirements, license conditions, and internal policies. You will work closely with local Compliance Officers, MLROs, regulators, and external consultants to safeguard the group’s regulatory standing, reputation, and long-term sustainability.

Your Future Employer:

Join a globally operating financial services organization with regulated entities across international markets. The organization operates within brokerage, trading, and fintech environments and is committed to maintaining the highest standards of regulatory integrity, ethical conduct, and sustainable growth.

Responsibilities:

• Group Compliance Framework: Design, implement, and maintain a group-wide compliance framework applicable across all entities and jurisdictions.
• Governance & Oversight: Ensure alignment between group compliance policies and local regulatory requirements across multiple licenses, regulators, and operating models.
• Board & Management Reporting: Provide regular compliance updates, risk assessments, and regulatory insights to the Board, senior management, and key stakeholders.

• Regulatory & Licensing Management: Act as the primary escalation point for global regulatory matters and coordinate with regulators across jurisdictions (e.g., FSC, CySEC, FSCA, SCA, and others).
• Regulatory Engagement: Support regulatory inspections, audits, license applications, renewals, variations, and ongoing regulatory reporting and disclosures.
• Issue Resolution: Ensure timely, accurate, and effective responses to regulatory queries, findings, and remediation requirements.

• Local Compliance Coordination: Work closely with local Compliance Officers, MLROs, and compliance consultants to ensure consistency in interpretation and application of regulatory requirements.
• Policy Review & Approval: Review, approve, and oversee local compliance policies, procedures, and control frameworks across jurisdictions.
• Escalation Management: Ensure effective identification, escalation, and resolution of compliance issues at both entity and group levels.

• AML / CFT Oversight: Oversee the group-wide AML/CFT framework, including KYC, customer due diligence, transaction monitoring, sanctions screening, PEP monitoring, and suspicious transaction reporting.
• Financial Crime Controls: Ensure AML policies and controls are consistently implemented while respecting jurisdiction-specific regulatory nuances.

• Policies & Procedures: Draft, review, and maintain group compliance manuals, AML/CFT policies, conflicts of interest, outsourcing policies, conduct standards, and client protection frameworks.
• Compliance Culture: Promote a strong culture of compliance, ethical conduct, and regulatory awareness across the organization.

• Monitoring & Risk Management: Develop and oversee compliance monitoring programs across entities; identify, assess, and mitigate compliance risks at group and entity levels.
• Regulatory Change Management: Track regulatory developments globally and assess their impact on business operations, products, and processes.
• Corrective Actions: Implement and oversee remediation plans for compliance gaps and regulatory findings.

• Advisory & Business Support: Act as a trusted compliance advisor to senior management, operations, product, and technology teams.
• New Business Review: Review and approve new products, services, markets, distribution models, partnerships, and outsourcing arrangements from a compliance perspective.
• Commercial Alignment: Balance regulatory compliance requirements with commercial and strategic business objectives.

• Training & Awareness: Design and oversee group-wide compliance and AML training programs to ensure staff awareness of regulatory obligations and internal policies.

Requirements:

• Bachelor’s degree in Law, Finance, Business, or a related field (Master’s degree preferred).
• 15+ years of compliance experience within financial services, fintech, brokerage, or trading environments.
• Prior experience as a Group Compliance Officer, Head of Compliance, or Senior Compliance Manager in a regulated environment.
• Strong expertise in global financial services regulation and multi-jurisdictional compliance management.
• Deep understanding of AML/CFT frameworks and financial crime regulatory expectations.
• Proven experience working directly with regulators and managing external compliance consultants.
• Excellent stakeholder management, communication, and advisory skills.
• High integrity, independence, and sound professional judgment.

What is in it for you?

• Strategic leadership role with global regulatory exposure.
• Opportunity to shape and strengthen compliance frameworks across international markets.
• High visibility with Board-level and senior leadership stakeholders.
• Long-term career growth within a regulated, globally expanding organization.

Reach Us:

• Interested candidates can apply by sending their resume to – tanu@crescendogroup.in

Disclaimer:
Crescendo Global specializes in Senior to C-level niche recruitment. We are passionate about empowering job seekers and employers with an engaging, memorable job search and leadership hiring experience. Crescendo Global does not discriminate on the basis of race, religion, color, origin, gender, sexual orientation, age, marital status, veteran status, or disability status.

Note: We receive a large volume of applications daily, so it may be difficult to respond to each candidate individually. If you do not hear back from us within one week, please assume your profile has not been shortlisted. Your patience is highly appreciated.

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Keywords:

Global Compliance, Financial Services Regulation, AML CFT, Regulatory Governance, Brokerage Compliance, Fintech Compliance, Risk Management, Licensing, Group Compliance Officer, Financial Crime