Compliance and Risk Manager
3 days ago
Unifi Capital Pvt Ltd., one of India's largest independent portfolio managers, is seeking a proactive Compliance and Risk professional to assist the Compliance Officer.
About Unifi Capital
We have a legacy of more than 22 years with a focus on under-researched segments. Our combined AUM (as of May 2024) is USD 3+ Bn across various SEBI- and IFSCA-regulated platforms - PMS, AIF, and Offshore. We serve about 11,000 diverse clients including institutions, family offices, and high-net-worth individuals, delivering consistent and superior returns.
Our Team
We believe our people are the heart and soul of our success. About 25% of its 125-member team has been with the firm for over a decade, reflecting strong internal cohesion and commitment.
Job Overview
We are looking for an action-oriented Risk and Compliance professional to lead internal audit and risk management, ensuring adherence to regulatory standards and proactively identifying areas for improvement in the financial services sector.
Key Responsibilities:
- Plan and manage comprehensive internal audits for PMS/AIF/Broking with an external audit firm and identify control gaps, evaluate risks, and provide recommendations to improve efficiency, compliance, and risk mitigation.
- Monitor the results of the audit and engage with management to ensure that findings are adequately addressed.
- Identify opportunities for process improvements to enhance efficiency and reduce risks and collaborate with other departments to implement best practices across the firm.
- Monitor changes in regulatory requirements from SEBI, exchanges, and other regulators, and update internal policies accordingly.
- Prepare periodic compliance reports and metrics for management and regulatory bodies.
- Implement compliance programs and processes to track compliance with internal policies, regulations.
Requirements:
- A self-starter who takes ownership and drives results.
- Qualified and experienced professional with 7+ years of experience in audit, compliance, risk management, or related roles within the financial services industry.
- Exceptional written and verbal communication abilities, including report writing and presentation skills.
- A flair for understanding securities regulations and building compliance culture.
Estimated Salary: ₹1,200,000 - ₹2,400,000 per annum
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