Mumbai |   15000000 - 25000000 P.A.

10 years

Job Description:   

Job Summary

Position would need to manage the below priorities:
• Identify and Management of Top Risks
• Operational risk management.
• Develop best in class risk and compliance internal audit processes.
• Develop in the organization a robust risk awareness and compliance culture.

Responsibilities and Duties

• Address day to day compliance alerts/warnings (including both pre trade and overnight batch compliance) related to trading strategies and the application of technology related or manual controls created and applied during this process
• Perform daily review of portfolio transactions and monitor compliance investment restrictions as they apply to holdings and transactions, identifying breaches and following up with respective parties to ensure rectification.
• Perform the review of regulatory and client guidelines for conversion into rules for compliance monitoring systems.
• Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls to meet FCA regulatory requirements.
• Assist in advising Front Office and other interested parties on compliance matters.
• Assist with ongoing review of relevant processes and procedures to ensure best practice.
• Attend selected meetings/committees as a representative of Compliance.
• Being the Risk management SME in the company and providing advice, guidance, training and tools to enable the embedding of risk management.
• Risk assessment to identify the Key risks with the business & development of Risk management practices.
• To create an Operations Risk Management (ORM) framework to ensure operational risks are effectively identified and managed

Required Experience and Qualifications

• 10 - 12 Years of post-qualification experience in Financial Services, Banking, Investments, working in senior risk and compliance roles within organisations.
• Experience in designing and implementing risk management and compliance processes.
• Mandatory experience in dealing with a Regulator (RBI, SEBI,) & AIF exposure.
• Graduate in any discipline and qualified CS + LLB or Qualified CA + CS / LLB will be an added advantage.
• Preferred - Knowledge of Failure Mode Effect Analysis (FMEA)& Certified risk manager (CRM)

Qualification: Qualified CS or CS or LLB or Certified risk manager or Failure Mode Effect Analysis (FMEA)

Keyskills:   Risk, Compliance, Internal Audit, Risk Management, Risk Strategies, Internal Compliance process, Internal audit procress, Operational risk Management, ORM

Please note - due to the number of applications we receive, we will only be able to respond to successful candidates.