Risk & Compliance

1. Details regarding Positions Open & the LOB

Function: AMC

Profile: Senior Executive / Asst. Manager- Risk & Compliance

Location: Mumbai

Company-Baroda Pioneer AMC

2. Job Profile

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.

3. Liases with :

- Internal customers ( Operations, Fund Management, Marketing, Sales and Compliance)

4. Candidate Profile :

We are looking for candidates :

- With 3-4 years 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.

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