Risk and Compliance Specialist

1 day ago


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

We are seeking a seasoned Risk and Compliance professional to join our team at Unifi Capital Pvt Ltd.

About Us

Unifi Capital is one of India's largest independent portfolio managers, with over 22 years of experience in the financial services industry. Our combined AUM stands at USD 3+ Bn across various SEBI- and IFSCA-regulated platforms.

We serve about 11,000 diverse clients, including institutions, family offices, and high-net-worth individuals, delivering consistent and superior returns.

At Unifi Capital, we believe our people are the heart and soul of our success. About 25% of our 125-member team has been with the firm for over a decade, reflecting strong internal cohesion and commitment.

Job Overview

We are looking for a proactive and action-oriented Risk and Compliance specialist to assist the Compliance Officer by leading internal audit and risk management, ensuring adherence to regulatory standards and proactively identifying areas for improvement.

Key Responsibilities:
  • Internal Audit Management: 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.
  • Risk Management: Monitor the results of the audit and engage with management to ensure that findings are adequately addressed.
  • Process Improvements: Identify opportunities for process improvements to enhance efficiency and reduce risks and collaborate with other departments to implement best practices across the firm.
  • Regulatory Updates: Monitor changes in regulatory requirements from SEBI, exchanges, and other regulators, and update internal policies accordingly. Ensure adherence to these regulations.
  • Compliance Reporting: Prepare periodic compliance reports and metrics for management and regulatory bodies.

The ideal candidate should possess:

  • 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.

We offer a competitive compensation package and a work environment that fosters growth and development. The estimated salary range for this role is ₹45,00,000 - ₹60,00,000 per annum, depending on qualifications and experience.



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