Compliance Manager

4 weeks ago

Mumbai, Maharashtra, India Markets Mojo Full time

Key Responsibilities:

- Monitor and interpret relevant financial regulations, laws, and guidelines that impact portfolio management and investment advisory activities. Ensure that Markets Mojo's activities comply with these requirements.

- Stay up to date with relevant laws, regulations, and guidelines pertaining to the PMS industry, financial markets, risk management, and regulatory affairs.

- Develop and implement strategies to ensure compliance with applicable regulations and guidelines.

- Collaborate with legal and regulatory teams to respond to regulatory inquiries and conduct regulatory reporting as required.

Policy Development:

- Develop, implement, and maintain compliance policies and procedures specific to portfolio management, registered investment advising, and investment advisory services.

- Collaborate with legal and risk management teams to align compliance objectives.

Compliance Programs:

- Design, implement, and maintain effective compliance programs for PMS, RI, and RA activities.

- Conduct regular compliance risk assessments to identify areas of potential vulnerability and recommend appropriate measures to mitigate risks.

- Develop and deliver compliance training programs to educate employees about regulatory compliance, risk management, and internal policies.

Investment Adviser Registration:

- Oversee the registration process and ongoing compliance obligations of Markets Mojo as a Registered Investment Adviser (RIA) with relevant regulatory bodies.

Risk Assessment and Management:

- Identify, assess, and mitigate potential compliance and regulatory risks associated with portfolio management, investment advising, and RIA activities.

- Develop risk management strategies and controls.

Regulatory Filings and Reporting:

- Ensure accurate and timely submission of required regulatory filings and reports related to investment advisory activities and RIA compliance.

Portfolio Management Compliance:

- Ensure that portfolio management processes and strategies adhere to compliance requirements and industry best practices.

- Monitor portfolio activities for any potential violations.

Client Relationships:

- Collaborate with client-facing teams to ensure compliance with client agreements, disclosure documents, and investment guidelines.

Internal Audits:

- Coordinate and support internal and external audits related to portfolio management, investment advisory services, and RIA compliance.

Training and Education:

- Develop and deliver training programs to enhance compliance awareness and understanding among portfolio managers, investment advisers, and relevant staff.

Vendor and Third-Party Oversight:

- Evaluate compliance practices of external vendors, service providers, and third-party partners involved in portfolio management and investment advisory activities.

Regulatory Intelligence:

- Stay informed about evolving regulatory developments, industry trends, and best practices related to portfolio management, investment advising, and RIA Work closely with legal, risk management, operations, investment, and client services teams to ensure a coordinated approach to compliance and client service.

Qualifications and Skills:

- Bachelor's degree in finance, business, law, or a related field. Advanced degree (e.g., MBA, JD) or relevant professional certifications (e.g., CFA, CCO) are often preferred.

- Extensive experience (typically 10+ years) in compliance roles within the financial services industry, with a strong focus on portfolio management, investment advisory, and RIA compliance.

- Comprehensive knowledge of relevant financial regulations, industry standards, and investment advisory rules.

- Strong analytical, problem-solving, and strategic thinking skills.

- Excellent communication, leadership, and team management abilities.

- Detail-oriented with a proactive approach to identifying and addressing compliance issues.

- Proficiency in compliance software, tools, and systems.

- Ability to navigate complex regulatory landscapes and provide strategic compliance guidance.

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