Director at Arin Consultancy Pvt. Ltd.
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Assistant Manager/Manager - Risk & Compliance - Mutual Funds/Asset Management Firm (3-5 yrs)
Profile: Asst. Manager / Manager - Risk
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 the Compliance / Investment Committee and Boards of the AMC & Trustee Company
- Monitor and analyze portfolios for stress testing as mandated by SEBI / internal policies
- Analyze investment risks associated with the various schemes of Baroda Mutual Fund and present the analysis along with performance risk analysis, risk ratios, etc. to the Investment Committee, Risk & Compliance Committee and Boards of the AMC and Trustee Company
- 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 audits.
- Ensure effective implementation of various risk-related internal as well as regulatory policies adopted by the AMC.
Liases with :
- Internal customers ( Operations, Fund Management, Marketing and Compliance)
Candidate Profile :
We are looking for candidates :
- With 3-4years experience in risk/investment 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.