Manager/ Sr. Manager

4 weeks ago


Mumbai, India ASK Investment Managers Full time

The quintessential candidate we seek is characterized by professionalism, acute analytical acumen, and superlative written and verbal communication abilities. Thriving in this role necessitates a self-driven disposition, the aptitude to navigate complexities, and a keen awareness of the ever-evolving regulatory and industry landscape. Embark on a rewarding journey with us as we champion compliance excellence and pave the way for unparalleled success.


Roles and Responsibilities

• Should be fully aware of the SEBI - PMS, AIF and Investment Advisory Regulations and work closely with Group Compliance Officers w.r.t to day-to-day deliverables.

• Ensure timely and effective communication to all the relevant stakeholders within the organization about the implications of the changes in the regulation and /or industry trend impacting our line of business.

• Advise management on the company’s compliance with laws and regulations through regular Board and Other Subcommittee presentations on regular basis.

• Draft and implement firm – level policies and processes.

• Create and manage effective action plans in response to audit findings.

• Regularly audit company procedures, practices, and documents to identify possible weaknesses or regulatory risks inherent to the process.

• Assess company operations to determine associated risk which may have impact on the client investments and settlement cycle.

• Ensure deep engagement with all the Functional heads on ongoing basis and evaluate larger risks associated to their function.

• Establish organization wide Compliance conscious culture through reinforcing compliance policies and imparting training at regular intervals.


Professional Requirements:

• CA, CS

• About 10 years’ proven experience in an AMC Compliance & / or Risk Management function

• Good knowledge of regulatory requirements and procedures. Preference will be given to those having experience in handling Compliance and / or Risk management of Mutual Funds, Portfolio Manager, AIFs

• Brilliant oral and written communication skills.

• Highly analytical with strong attention to detail.



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