Compliance Manager
Randstad
Full time- 10+ years
- Not Disclosed
- Mumbai, India
- Post Date: Mar 27, 2024
- End Date: May 27, 2024
- 10+ years
- Not Disclosed
- Mumbai, India
- Post Date:Mar 27, 2024
- End Date: May 27, 2024
Skills:
- Ms Office
- Communication
- Management
- Finance
- Problem Solving
- Sox Compliance
Job Description:
Responsibilities
- Stay updated with SEBI regulations, circulars, and guidelines relevant to Portfolio Management Services.
- Interpret and communicate SEBI regulatory requirements to internal stakeholders.
- Ensure that all PMS activities are conducted in compliance with SEBI regulations.
- Develop, review and update compliance policies and procedures to align with SEBI regulations and industry best practices.
- Implement controls to ensure effective enforcements of compliance policies across PMS Operations.
- Collaborate with legal and risk management teams to align compliance objectives.
- Design, implement, and maintain effective compliance programs for PMS, RI, and RA activities.
- Conduct regular compliance risk assessments to identify areas of potential vulnerability and recommend appropriate measures to mitigate risks.
- Develop and deliver compliance training programs to educate employees about regulatory compliance, risk management, and internal policies.
- Oversee the registration process and ongoing compliance obligations of the firm as a Registered Investment Adviser (RIA) with relevant regulatory bodies.
- Identify, assess, and mitigate potential compliance and regulatory risks associated with portfolio management, investment advising, and RIA activities.
- Implement measures to ensure timely identification, monitoring and management of compliance risks.
- Ensure accurate and timely submission of required regulatory filings and reports related to investment advisory activities and RIA compliance.Portfolio Management Compliance:
- Ensure that portfolio management processes and strategies adhere to compliance requirements and industry best practices.
- Monitor portfolio activities for any potential violations.
- Collaborate with client-facing teams to ensure compliance with client agreements, disclosure documents, and investment guidelines.
- Coordinate and support internal and external audits related to portfolio management, investment advisory services, and RIA compliance.
- Develop and deliver training programs to enhance compliance awareness and understanding among portfolio managers, investment advisers, and relevant staff.
- Vendor and Third-Party Oversight: Evaluate compliance practices of external vendors, service providers, and third-party partners involved in portfolio management and investment advisory activities.
- Stay informed about evolving regulatory developments, industry trends, and best practices related to portfolio management, investment advising, and RIA compliance.
- Work closely with legal, risk management, operations, investment, and client services teams to ensure a coordinated approach to compliance and client service.
Qualifications & Experience
- Bachelor's degree in finance, business, law, or a related field. Advanced degree (e.g., MBA, JD) or relevant professional certifications (e.g., CFA, CCO) are often preferred.
- Minimum experience of 5+ years as a Compliance officer specifically SEBI compliance roles within the financial services industry, with a strong focus on portfolio management, investment advisory, and RIA compliance.
- Comprehensive knowledge of relevant financial regulations, industry standards, and investment advisory rules.
- Strong analytical, problem-solving, and strategic thinking skills.
- Excellent communication, leadership, and team management abilities.
- Detail-oriented with a proactive approach to identifying and addressing compliance issues.
- 10 years of experience.
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