Risk and Compliance Specialist

3 weeks ago


Chennai, Tamil Nadu, India Unifi Capital Pvt. Ltd Full time

Company Information
Unifi Capital is a leading provider of financial services in India, with a strong reputation for excellence and innovation. Our commitment to delivering exceptional results has earned us a loyal client base and a position as one of the largest independent portfolio managers in the country.

Job Details
We are seeking a highly skilled Risk and Compliance professional to join our team as a Risk and Compliance Specialist. In this role, you will be responsible for assisting the Compliance Officer in leading internal audit and risk management initiatives, ensuring adherence to regulatory standards, and identifying areas for improvement.

Responsibilities

  • Lead comprehensive internal audits for PMS/AIF/Broking, working closely with external audit firms to identify control gaps, evaluate risks, and provide recommendations for improvement.
  • Collaborate with management to address audit findings and ensure effective implementation of controls.
  • Identify opportunities for process improvements to enhance efficiency and reduce risks, working closely with other departments to implement best practices.
  • Stay up-to-date with regulatory changes from SEBI, exchanges, and other regulators, and update internal policies accordingly.
  • Prepare and present periodic compliance reports and metrics to management and regulatory bodies.

Requirements

  • Proven track record of driving results and taking ownership in audit, compliance, risk management, or related roles.
  • Minimum 7 years of experience in the financial services industry, with expertise in compliance, internal audit, and risk management.
  • Excellent written and verbal communication skills, with experience in report writing and presentation.
  • Familiarity with securities regulations and the ability to build a compliance culture.

What We Offer
At Unifi Capital, we offer a competitive compensation package, along with opportunities for growth and development. Estimated salary: ₹45,00,000 - ₹65,00,000 per annum.



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