Senior Executive/Assistant Manager - Risk & Compliance - CA/CS - AMC

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.