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Compliance Manager

2 months ago

Mumbai, India Executive Power Full time

This is a Compliance role with a Leading Financial services group which runs its own PMS and AIF.




Only candidates with Compliance background in PMS/AIF/Mutual Fund from Mumbai and presently at a Ctc of 5l to 10l can apply.




The following are the job responsibilities---




Work closely with the team to drive the Compliance function across Indian and offshore asset


management business ( AIF & PMS)


Oversee and monitor day-to-day compliances for asset management business (AIF & PMS)


Group standards and regulatory environment, identify breaches and suggest/ implement


mitigation measures


Oversight and implementation of regulatory changes across business in accordance with all


regulatory requirements and central compliance standards


Facilitate implementation of the Central Compliance Framework across the Indian and offshore


asset management business


Work on Compliance related tasks on special projects like new licenses, acquisitions, new


business set up, exits, winding down


Facilitating correspondence with regulators such as SEBI, RBI, offshore regulators i.e. MAS,


FINRA, SEC etc.


Work with the team in preparing and presenting clear and concise compliance reports/updates to


the management and board as required


Being the custodian of and promoting a compliance culture


Preparing compliance training modules and undertaking compliance training as per the training


calendar


Ensuring record keeping and documentation management


Preparing, monitoring, implementation, and review of the AMC Compliance Polices & SOPs


Managing internal, regulatory and statutory audit process from AMC compliance perspective


Assessing the compliance related risks faced by the business and ensure that the risks are


managed appropriately