Manager - Compliance

MUMBAI

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.