Executive- Risk and Compliance


Mumbai Salary: 300000 - 500000 P.A.


Job Description:   

Greetings from Da Werben!

We are hiring for Executive – Risk and Compliance for a reputed organization.

This job is ideal for somebody having experience in dealing with a Regulator (RBI, SEBI, Exchange) & AIF and knowledge of SEBI (AIF) regulations,investment products, including knowledge of both fixed and variable products.

KEY RESPONSIBILITIES:

 

·         Monitor compliance with SEBI regulations and ensure that all regulatory filings are completed within time. 

·         Perform daily review of portfolio transactions and monitor compliance investment restrictions as they apply to holdings, identifying breaches and following up with respective parties to ensure rectification.

·         Confirmation of trades to the Custodian on daily basis. Co-ordinating with Custodian and brokers to ensure smooth settlement of trades.

·       Verification of KYC and screening of KYC against the debarred entity list of SEBI, UNSC etc. Submission of reports to the FIU.

·         Preparing and sending comm unications and reports to the investors in the fund.

·         Attending to grievances/complaints if any received from investors.

·      Assist in identification of the Key risks with the business & development of risk management practices to ensure that key risks are effectively identified and managed.

·         Assist in framing polici es and compliance manuals.

·         Attending to SEBI inspections, audits and other regulatory inquiries.

·         Co-ordinate with tax consultants to ensure timely submission of reports.

·         Establish strong working relationships with internal and external business partners and clients.

 

PREFERRED CANDIDATE PROFILE WOULD BE:

·         3+ Years of post-qualification experience in Financial Services, Banking, Investments, working in compliance and/or risk roles within organisations.

·         Experience in dealing with a Regulator (RBI, SEBI, Exchange) & AIF exposure preferred.

·         Should be a Graduate in any Faculty. Qualified MBA/CA/CS /LLB will be an added advantage.

·         Strong knowledge of investment products, including knowledge of both fixed and variable products.

·         Knowledge of SEBI (AIF) regulations.

·         Strong customer service and relationship building skills.

·         Able to analyze data and information and create positive solutions.

·         Strong verbal and written communication skills.

 


Location: Mumbai

Experience: 3 years

Salary: 300000 - 500000 P.A.

Qualification: Any Graduate in Finance, MBA, CA , CS , LLB

Keyskills:   Financial Services, Banking, Investments,RBI, SEBI, Exchange, AIF, customer service, relationship building skills

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