Associate Manager II - Compliance

Job Description

Responsibilities Support the (Mutual Fund) business in remaining compliance within the regulatory environment and managing their risk Drive the identification, assessment, measurement, mitigation and monitoring of compliance risk as it pertains to the business. Participate in the review of new business initiatives and transactions requiring pre-approval Deliver independent risk assessment and reports that provide senior management with the risk profile of the firm. Manage regulatory inquiries and examinations in close coordination with the CCO and Business partners; Manage Scheme Information Documents filings, interactions with SEBI and provide compliance support the business team during launch of NFOs; Collaborating with other stakeholders like Business, Product, Operations,Technology, Legal etc. to address compliance issues which many impact the function/business and develop approaches/ action plans to manage current and emerging risks Qualifications Advanced Degree preferred Law, CA, CS, Law. Strong understanding of Compliance requirements and regulations. Exposure to requirements of multiple regulators viz. SEBI would be desirable Between 4+ years post qualification experience in Banking & Financial Services industry in a Compliance or control or risk advisory related function. Prior experience in the mutual fund industry is helpful; Experience in managing regulatory inspections/ audits would be preferable; Strong analytical and problem solving skills and can thrive under pressure Good interpersonal skills and people management skills Exceptional communication (both written and verbal) skills