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Manager Compliance

3.00 to 5.00 Years   Mumbai City   24 Oct, 2019
ARIN CONSULTANCY
Job LocationMumbai City
EducationNot Mentioned
SalaryNot Disclosed
IndustryManagement Consulting / Strategy
Functional AreaLegal Support ServicesFinance / Accounts / Tax
EmploymentTypeFull-time

Job Description

Manager Compliance in an Asset Management Company 4 views 4 views Job Job Preferences

The person will be responsible to

  • Ensure smooth functioning of the investment limit monitoring module in the front office system
  • Review and test the investment rules set in the front office system periodically
  • Monitor investment limits and submit periodic reports to Compliance / AMC & Trustee Boards, whenever applicable
  • Monitor and analyze portfolios for stress testing as mandated by SEBI / internal policies
  • Analyze and submit periodic reports on risk ratios, etc. to the AMC and Trustee Boards
  • Monitor and ensure front office compliances such as confirmation of deals over recorded lines, prohibition on use of cell phones in dealing room, etc.
  • Ensure and monitor compliance with the risk management system mandated by SEBI.
  • Co-ordinate with internal / statutory auditors and ensure timely completion of risk and compliance audits.
  • Assist in implementation of various internal as well as regulatory policies adopted by the Company.
  • Assist in submission of various regulatory and internal compliance reports in an accurate and timely manner.
    • Job Requirements

    Looking for candidates :

  • With 3-4years experience in risk and compliance functions
  • Have completed CA / CS.
  • Are familiar with current risk management practices applicable to AMCs and MF compliances.
  • Has excellent communication and drafting, interpersonal and persuasive skills and sound knowledge of numbers and technology.
  • Is a team player and a self-motivated person who is ready to take on additional responsibilities when called upon.
    • ,

    Keyskills :
    court appointed receiverfront office stress testingrisk management asset managementmanagement system internal compliance

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