Fund Compliance
1 month ago
Main Responsibilities
Ensure a proactive approach is taken to the identification of risks both at the Onboarding stage and during Ongoing Monitoring. Ensure smooth and efficient Client Onboarding, adhering to agreed response times. As part of the central Onboarding, evaluate the risks associated with new business/ deals and their impact on company strategy, risk appetite and regulatory and compliance impact. Assist the Local Management Team (LMT) of offices in the formulation and maintenance of risk appetite, tolerances and limits, having regard to the strategy and business plans and the risk/return profile of the business. Provide expert guidance, support, oversight and independent challenge. Monitoring regulatory developments, and assessing their relevance to the business. Work alongside the Compliance Head to implement high-level strategic compliance initiatives to coordinate the approach to regulatory changes. Maintain regular contact and communication with the clients for their changing requirements and update the AM on the same. Monitor and ensure compliance with standards and procedures implemented by compliance programs. Identify and report any non-compliance or suspicious activity, in accordance with anti-money laundering regulations, to Management in a timely manner. Prepare and submit written compliance reports to Management. Act as the main point of contact with Regulators, when necessary and responsible for compliance-related audits. Perform the Compliance officer role and / or the MLRO (Money Laundering Reporting Officer) role for the assigned jurisdiction and supporting other jurisdictions on a need basis to meet deliverables and commitments. Ongoing Monitoring Run an effective central Ongoing Monitoring that ensures that all risks and compliance are monitored and addressed post client onboarding, in ensuring that the activities of the client fall within regulatory and compliance expectations, including transaction monitoring, name screening and adverse media hits clearance, investigation and filing of unusual account activities and other anti-money laundering related functions. Conduct on going compliance and risk reviews, escalating issues and proposed solutions to the Head of Compliance. Be responsible for driving the Transaction Monitoring program and ongoing review of the compliance policies and procedures to alleviate risk and ensure compliance with the changing regulatory landscape. Draw up and deliver the Annual Compliance Monitoring Plan by producing quality on-going monitoring reviews. Performing complex Monitoring reviews and sharing Compliance expertise with the team, providing support, guidance and training when needed. Providing advice and guidance to the business on necessary actions to achieve regulatory compliance, addressing any issues arising from monitoring reports. Reporting to management on levels of Compliance Assurance and/or any issues arising from specific monitoring activity. Continually improve Compliance Review systems and processes, with a focus on business service levels, productivity, efficiency and client service. Bring technical expertise, perform reviews, quality checks, resolve complex cases and drive to completion, be well versed with global regulatory requirements / laws and being able to look at risk holistically and day to day execution of Client Due Diligence (CDD) and Enhanced Due Diligence) Understand and balance the commercial and compliance aspects to arrive at practical solutions; Build a strong compliance culture within the team as well as drive commercial awareness. Flag genuine risks, but not strictly following a check-list approach to risk & compliance, track exceptions / open risks to closure. Responsible as the key player in the remediation effort and other ongoing monitoring matters that are both time critical and quality critical. Strong focus on timelines, quality of execution and managing multiple priorities while effectively working with key stakeholders and team to achieve success. Team Responsibilities Ensure that Amicorp’s KYC, Anti-money laundering, Countering Terrorist Financing (AML/CTF) and Anti-Bribery and Corruption systems and On-boarding controls are adequate. Promoting an appropriate Compliance culture across the organization through clear communications and engagement with the Sales Officers (SOs), Senior Account Managers (SAM) and LMT. Work in conjunction with Compliance & Risk to develop and deliver compliance training initiatives to embed the risk management culture throughout the business. Actively lead and contribute to group and local projects as required including development, integration, alignment, improvement and implementation of systems, processes and procedures Other Duties Undertake the role of director, trustee, nominee, manager, partner, secretary, authorized signatory or any related position in internal entities or client entities of Amicorp Group, where necessary and required by the Management. Undertake such other duties, related to the position, as may from time to time be agreed with Management.
Qualifications, skills, and experience
Relevant Bachelor’s or Master’s Degree and other relevant professional qualifications. Over 3+ years’ previous experience of establishing and/or working in a compliance function. Experience in a financial services business and liaising with regulators preferred. Solid understanding of local and international tax and regulations including exposure to CRS, FATCA, BEPS, GAAR. Strong commercial mindset, takes initiative, positive and proactive, dedicated, focused and revenue and target driven. Excellent organizational, interpersonal and communication skills. Excellent client facing skills. Well-developed spoken and written communication skills and the ability to tailor style to relevant audiences, and successfully liaise with people at different levels. Excellent English language fluency; additional languages preferred. Strong analytical and problem solving skills, solution driven, highly organized and detailorientated with good decision making and time management skills. Independent, hands-on and takes accountability to deliver solutions and results. Ability to adapt and work in a smaller, dynamic local team environment; along with being part of a bigger matrix organization. Proven leadership and team player skills, with ambition to excel in the role.
-
Fund Compliance
1 month ago
bangalore, India Amicorp BPO Full timeThe role requires an experienced professional with proven KYC and AML experience in financial, accounting services or trust & fiduciary services. The role holder will primarily review documentation for customers and investors, evaluating high-risk relationships and analyzing potential financial crime risks. Successful candidate will ensure from the 1st Line...
-
Fund Controller
5 days ago
bangalore, India Infinyte Club Full timeFund Controller - Infinyte ClubAbout the Company:We are a wealth tech platform with startup equity investments as one of our core asset class. We started with a mission to help startup operators find liquidity for their hard-earned ESOPs. As we build the secondary market in India, we are bringing to life some of the most exciting private equity assets and...
-
Manager - Capital & Funding
4 weeks ago
Bangalore, India 3M Full timeJob Summary : 3M seeks a Supervisor Capital & Funding to support its growing global operations. The person will work both within Treasury and with a diverse set of cross-functional stakeholders along with external banking partners. This position requires a self-starter who will work to support Treasury processes, perform financial analyses, and...
-
Manager - Capital & Funding
1 month ago
bangalore, India 3M Full timeJob Summary : 3M seeks a Supervisor Capital & Funding to support its growing global operations. The person will work both within Treasury and with a diverse set of cross-functional stakeholders along with external banking partners. This position requires a self-starter who will work to support Treasury processes, perform financial analyses, and...
-
Senior Compliance Associate
3 weeks ago
bangalore, India Turbostart Full timeWho are we:Turbostart is an early stage Fund + Accelerator launched with the vision to establish a differentiated, global institution in this space. Since its inception in India, 3+ years ago, Turbostart has raised $20M spanning 2 funds, with a portfolio of 30 investee startups under its belt; and set to onboard another 10 in the coming month. Turbostart is...
-
Fund Servicing
1 month ago
bangalore, India JPMorgan Chase & Co. Full timeAs a Fund Servicing Manager in Asset Servicing Operations, you will be responsible for Income and Corporate Actions operations and ongoing remediation activities across the IMOS product and service offering. Responsibilities: Responsible for Asset Servicing Operations - Income and Corporate Actions Successful onboarding of new clients onto the...
-
bangalore, India Michael Page Full timeOpportunity to lead the compliance function Opportunity to be a part of industry leading FinTech organization About Our Client Our client is a well-funded FinTech company backed by leading investors. Job Description Be Compliant with the RBI & NPCI guidelinesDevelop internal framework in compliance with regulatory guidelinesRisk...
-
Manager/Senior Manager
1 month ago
bangalore, India Snaphunt Full timeThe Offer Opportunity within a company with a solid track record of performance Opportunity to make a positive impact Strong opportunities to progress your career The Job Your responsibilities will include: To raise funds from the corporates for skill development livelihood projects. Responsible for market research and generate leads of potential donors...
-
bangalore, India KFintech Full timeRoles and Responsibilities Prepare timely and accurate Net Assets Values (NAV) for Mutual Fund and AIF client and other fund accounting output for subsequent review. Record accurately, and in accordance with the client’s policies and procedures, such as accounting records as securities positions, corporate actions related, and journal entries. ...
-
bangalore, India Goldman Sachs Full timeCONTROLLERS Controllers ensure that the firm meets all the financial control and reporting obligations of a global, regulated, and public financial institution. Our professionals measure the profitability of, and risks associated with, every aspect of the firm's business. Controllers also ensure that the firm's activities are conducted in compliance with the...
-
Payroll & Compliance Specialist 1
3 weeks ago
bangalore, India Alstom Full timeReq ID:449629 Leading societies to a low carbon future, Alstom develops and markets mobility solutions that provide the sustainable foundations for the future of transportation. Our product portfolio ranges from high-speed trains, metros, monorail, and trams to integrated systems, customised services, infrastructure, signalling and digital mobility...
-
Debt Funding Operations
3 weeks ago
bangalore, India KreditBee Full timeKey Responsibilities: Oversee and execute daily debt-related transactions, ensuring accuracy and compliance.Monitor and reconcile transaction records, promptly addressing discrepancies.Maintain organized and up-to-date documentation for debt transactions, contracts, and agreements.Collaborate with legal and compliance teams to ensure documentation meets...
-
Payroll & Compliance Specialist 1
1 month ago
Bangalore, India Alstom Full timeReq ID:449629 Leading societies to a low carbon future, Alstom develops and markets mobility solutions that provide the sustainable foundations for the future of transportation. Our product portfolio ranges from high-speed trains, metros, monorail, and trams to integrated systems, customised services, infrastructure, signalling and digital...
-
Senior Executive
1 month ago
bangalore, India Navi Full timeAbout NaviNavi is one of the fastest-growing financial services companies in India providing Personal & Home Loans, UPI, Insurance, Mutual Funds, and Gold. Navi's mission is to deliver digital-first financial products that are simple, accessible, and affordable. Drawing on our in-house AI/ML capabilities, technology, and product expertise, Navi is dedicated...
-
bangalore, India PhonePe Full timeAbout PhonePe Group: PhonePe is India’s leading digital payments company with 50 crore (500 Million) registered users and 3.7 crore (37 Million) merchants covering over 99% of the postal codes across India. On the back of its leadership in digital payments, PhonePe has expanded into financial services (Insurance, Mutual Funds, Stock Broking, and...
-
Share.market, Operations Analyst
3 weeks ago
bangalore, India PhonePe Full timeAbout PhonePe Group: PhonePe is India’s leading digital payments company with 50 crore (500 Million) registered users and 3.7 crore (37 Million) merchants covering over 99% of the postal codes across India. On the back of its leadership in digital payments, PhonePe has expanded into financial services (Insurance, Mutual Funds, Stock Broking, and...
-
Senior Associate
1 week ago
bangalore, India Corporation Service Company Full timeSenior Associate Bangalore 45 Hours weekly Hybrid Intro: CSC is a dynamic, international and growth-oriented company. We provide you with outstanding opportunities for your professional and personal development through our local and global offices. The anti-money laundering and counter terrorist financing compliance landscape...
-
Tax Specialist, Transaction Tax Compliance
7 hours ago
bangalore, India Ryan Full timeTax Specialist works with consultants and managers in the US/India to manage projects and performs verification and reconciliation related to payment administration, tracking and logging notices and preparation of Sales & Use Tax Returns. This role involves developing required procedures, performing quality review, and managing project communications. ...
-
Tax Specialist, Transaction Tax Compliance
23 hours ago
Bangalore, India Ryan Full timeTax Specialist works with consultants and managers in the US/India to manage projects and performs verification and reconciliation related to payment administration, tracking and logging notices and preparation of Sales & Use Tax Returns. This role involves developing required procedures, performing quality review, and managing project communications. ...
-
Senior Tax Associate, Transaction Tax Compliance
4 weeks ago
Bangalore, India Ryan Full timeTo perform the job successfully, the candidate should have a basic understanding of Tax and accounting concepts and excellent analytical & problem-solving abilities. High attention to detail, ability to meet strict deadlines and good communications is critical. Basic or Intermediate knowledge of Microsoft® Word, Access, Excel, Outlook, Internet navigation...