Manager - Risk & Compliance


Mumbai |   12000000 - 20000000 P.A.

5-9 years


Job Description:   

Position would need to manage the below priorities:
• Operational risk management.
• Develop best in class risk and compliance internal audit processes- Risk Management System.
• Compliances.

 

Responsibilities and Duties

 

  • Knowledge of Risk Management System (RMS) and Compliance operations of: Alternate Investment Fund (AIF) / Mutual Fund / PMS /Stock Broking Industry
  • Matching/confirmation of trades at end of day downloaded from NSDL steady system.
  • Good knowledge of SEBI (Alternative Investment Fund) Regulations 2012 and SEBI (Foreign Portfolio Investors) Regulations 2019.
  • Co-ordination with the Trustee Company, Legal Advisers, Custodians, Fund Accountant & Transfer Agency and Foreign Partners for Legal / KYC documentation.
  • Checking of Risk limits (pre-trade) for stocks, sectors and business groups as per internal policy.
  • Framing and updating of Policies including for Risk, Liquidity Management, Insider trading, AML, Conflicts of Interest and the Compliance Manual.
  • Submission of periodical reports / returns to SEBI, Trustees, RBI, FATCA reports, MCA etc.
  • Preparing minutes of all statutory and committee meetings.
  • Setting up of procedures for on-boarding of clients and preparing the KYC kit, registration with KRA, CERSAI, FIU, NDML (for STP process), empanelment of brokers, trade confirmations.
  • Obtaining investment disclosures and approval of trade requests.
  • Ensuring controls for the dealing room and monitoring of recorded lines on periodic basis.
  • Screening of clients as per AML policy.
  • Periodic training to the team members on AML and other compliances.
  • Checking for new regulations and circulars issued by regulators and impact on our policies.
  • Sending of investor communications and resolving queries of investors

 

Required Experience and Qualifications

 

  • Graduate or Chartered Accountant (desirable) with about 2/ 3 years’ experience
  • Experience in designing and implementing risk management and compliance processes.
  • Mandatory experience in dealing with a Regulator (RBI, SEBI,) & AIF exposure.
  • Good knowledge of MS Excel, Word and power point
  • Good communication skill


Qualification: CA, CS , Any Graduate with Commerce or Finance

Keyskills:   Risk Management System, RMS, Compliances, NBFC, AIF, Mutual Fund, Stock Broking, KRA, CERSAI, FIU, NDML, Liquidity Management, Insider trading, AML

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


Still interested? Submit your CV (in a Microsoft Word format) today!

Or

Perhaps this role didn't fit your criteria, we have many similar roles advertised on our website. Check the latest jobs here.

Please don't hesitate to contact our team for any support on Email or call



Latest Job Openings - Jobs - Recruitment - Job Search - Hirings - HR Consultancy | Da Werben
CIN U74999MH2016PTC280671 All rights reserved ©2023 Da Werben Services Pvt. Ltd. | This website is made with by Slang Software