Location: Mumbai

Duties and Responsibilities:

Job Functions:

- Responsible for handling all Compliance & Risk functions for various business divisions at a Group level.(Business Lines - Wealth Management, Investment Management, Real Estate PE)

- To develop, maintain and oversee Regulatory Compliance Programmes

Responsibilities:

- To ensure the overall compliance with various Corporate Laws with respect to all companies under the group and ensure best corporat e governance practices in the corporate.

- Organize and arrange for various statutory approvals required under Companies Act and Rules/Regulations made there under

- Managing periodic SEBI Compliances (Monthly, Half-yearly reporting etc.), Coordinate SEBI license renewal and ensure continuous review and update on any new development w.r.t PMS regulations.

- To advise the company management on Companies Act, SEBI Act and Rules / Regulations made there under. To assist in interaction with various Authorities viz. MCA,, RBI, Company Law Board & SEBI

- To maintain, update & file various statutory records with respect to the various Companies under the group.

- Assisting in day to day compliances of each business segment and ensuring that all guidelines are implemented in respect of various activities. Bringing the deviations, if any, to the functional heads and facilitating prompt rectification.

- Conduct independent compliance audit or assist in the same.

- Keep abreast of judgments passed by various High Courts, orders passed by the regulatory bodies like SEBI/RBI/Company Law Board etc, and advise the Company about the implications.

- Assist in ongoing compliance requirement for international and domestic structures, assist in due diligence process for any M&A or Strategic tie-up etc.

- Ensuring the Compliance of AML & Employee trading policy & Code of conduct for Employees

- Participate in risk committee to review the risk management policy of the Company and ensure that the same is updated from time to time based on market environment

- Implement Risk Framework for the PMS business.

- Highlight risk triggers and ensure corrective actions are taken on time.

- Generation and circulation of Risk MIS to the Risk committee / Board

Qualification: CA. Preferred with CS

Experience (Specific to any organization):

- Around 6-8 years experience at a similar role in the Financial Services industry.

- He should have experience in handling all Compliance & Risk functions for the organization.

Functional Skills Required:

- Computer Proficiency (MS Word, Excel)

- Presentation Skills

- Report Writing & Documentation

- Sound Knowledge on Key Regulations: SEBI, Brokers, Mutual Funds, Company Act etc

Reporting Relationship: CFO

Experience Band: 8-10 years experience

Age Band: Around 30-35 years.

This job opening was posted long time back. It may not be active. Nor was it removed by the recruiter. Please use your discretion.