142, 14th Floor, Maker Chambers VI, Nariman Point, Mumbai - 400021
SEBI Office: Plot No. C4-A, 'G' Block, Bandra-Kurla Complex, Bandra(East), Mumbai - 400051
18B106, 18th Floor, Berger Delhi One, Sector 16B, Noida - 201301
SEBI Office: NBCC Complex, Office Tower-1, 8th Floor, Plate B, East Kidwai Nagar, New Delhi – 110023
815, 8th Floor, The Estate, Regus Business Centre, Dickenson Road, Bengaluru - 560042
SEBI Office: 2nd Floor, Jeevan Mangal Building, No.4, Residency Road, Bengaluru - 560025
Workafella No.10, Uthamar Gandhi Salai, Nungambakkam High Road, Nungambakam, Chennai - 600034
SEBI Office: 7th Floor, 756-L, Anna Salai, Chennai - 600002
Centre A, 8th Floor, Alapatt Heritage Building, MG Road, Kochi - 682035
SEBI Office: 6th Floor, Finance Tower, Kaloor, Kochi - 682017
603A, 6th Floor, Dempo Trade Centre, Patto, Panjim, Goa - 403001
SEBI Office: 6th Floor, EDC House, Atmaram Borkar Road, Panaji - 403001, Goa
Job Role
Conduct reviews of guidelines prescribed by regulators(RBI, SEBI, IRDAI)
To understand the regulatory risk across different businesses and execute controls
Identify issues impacting risks under review, evaluate the efficiency of existing controls, and present sustainable compliance controls
Compliance across the length and breadth of the Wealth Management business including Compliance in PMS/MF/AIF
Ability to do multiple reviews while maintaining a high degree of accuracy and attention to detail
Prepare effective and timely reports
for senior management.
Computation of compliance risk score and preparation of presentations for Risk Committee
Skill set preferred
Analytical mindset, Good Drafting, and exceptional communications skills. Strong IT skills, Critical thinker, and problem solver.
Ideal Candidate
The ideal candidate would be a
qualified Company Secretary with 3-6 years of experience within the wealth
management or BFSI domains. This role requires working in a hybrid format and
hence
candidates MUST be based in Mumbai.
142, 14th Floor, Maker Chambers VI, Nariman Point, Mumbai - 400021
SEBI Office: Plot No. C4-A, 'G' Block, Bandra-Kurla Complex, Bandra(East), Mumbai - 400051
18B106, 18th Floor, Berger Delhi One, Sector 16B, Noida - 201301
SEBI Office: NBCC Complex, Office Tower-1, 8th Floor, Plate B, East Kidwai Nagar, New Delhi – 110023
815, 8th Floor, The Estate, Regus Business Centre, Dickenson Road, Bengaluru - 560042
SEBI Office: 2nd Floor, Jeevan Mangal Building, No.4, Residency Road, Bengaluru - 560025
Workafella No.10, Uthamar Gandhi Salai, Nungambakkam High Road, Nungambakam, Chennai - 600034
SEBI Office: 7th Floor, 756-L, Anna Salai, Chennai - 600002
Centre A, 8th Floor, Alapatt Heritage Building, MG Road, Kochi - 682035
SEBI Office: 6th Floor, Finance Tower, Kaloor, Kochi - 682017
603A, 6th Floor, Dempo Trade Centre, Patto, Panjim, Goa - 403001
SEBI Office: 6th Floor, EDC House, Atmaram Borkar Road, Panaji - 403001, Goa