Senior Compliance Specialist

4 days ago


Pune, Maharashtra, India beBeeCompliance Full time ₹ 18,00,000 - ₹ 22,00,000

Key Responsibilities:

  • Support an investment management firm in the APAC region by providing oversight of compliance functions for Local Business Units (LBUs).
  • Ensure LBUs comply with Group/Regional Compliance Policies & Standards and industry best practices.

Responsibilities include:
LBU Oversight Responsibilities
- Be a Relationship Manager and provide oversight of LBU compliance teams.
- Work with LBU Heads of Compliance to establish an Annual Compliance Monitoring Plan (ACMP) and proactively challenge it to ensure it adequately performs regulatory risk and control assessments.

Head Office Compliance Responsibilities
- Ensure the Head of HO Compliance and Chief Risk Officer are updated on key compliance issues in LBUs allocated to you.
- Assist the Head of HO Compliance in preparing Compliance Reports for governance committees and functional heads at Group Head Office.

Required Skills and Qualifications:
- Degree in Commerce, Finance, Accounting, or Banking with professional qualifications in Accounting, Law, or Management.
- Minimum 5-8 years of experience in regulatory compliance and/or compliance auditing programs within the financial services industry.

Benefits:
- Excellent communication skills and effective interpersonal skills with experience working with different stakeholders.
- Business transformation and innovation skills.

Others:
- Adaptive, mature, motivated, and able to use own initiative.
- Resilient in dealing with multiple initiatives and challenges and pay attention to detail.
- Forward-looking mindset, independent, and has a positive can-do attitude.



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