24/12 Arpita
Senior Consultant at Liontree HR

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Compliance Manager - Mutual Fund Firm (4-10 yrs)

Mumbai Job Code: 876115

We are looking for Compliance Manager for a reputed Asset Management Co located at Goregaon location in Western Sunberbs.

Candidate should have minimum 4 years of experience after CS

Industry Experience

Portfolio Management Services and Alternative Investment Funds. Experience in Mutual Funds will surely be an added advantage.

Job Responsibilities

To ensure:

1) Ensure accurate and timely compliance with applicable laws, especially pertaining to PMS and AIF

2) Monitoring regulatory compliances basis the regulatory provisions primarily for AIF - PMS and also for Mutual Fund activities

3) Devising processes to ensure adherence to the applicable regulations

Key Accountability

1. Assess compliance control effectiveness in PMS,AIF and MF

2. Focus on automation of manual controls and drive for automation of all such activities by coordinating with respective team

3. Ensure that the the regulatory provisions are adhered to and there is effective monitoring mechanism for review of compliances by all the teams.

4. Discuss and provide input on any new activity/structure in PMS-AIF and provide inputs from regulatory as well as from control perspective.

5. Continuously update the regulations and applicable activities in the compliance system.

6. Focus on standardizing and automating processes

Women-friendly workplace:

Maternity and Paternity Benefits

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