Compliance And Risk Officer

Role & responsibilities

1. Regulatory Compliance: Ensure compliance with SEBI regulations, circulars, and guidelines pertaining to portfolio management services. Stay updated on regulatory changes and communicate implications to relevant stakeholders.

2. Internal Policies: Develop and implement internal compliance policies and procedures in alignment with regulatory requirements. Monitor compliance with internal policies and initiate corrective actions as needed.

3. Documentation and Reporting: Maintain accurate and up-to-date documentation related to compliance activities, including regulatory filings, reports, and records. Prepare and submit compliance reports to regulatory authorities as required.

4. Risk Assessment: Conduct periodic risk assessments to identify compliance risks and vulnerabilities. Develop and implement risk mitigation strategies to address identified risks effectively.

5. Training and Awareness: Provide training and guidance to employees on compliance matters, including SEBI regulations, internal policies, and procedures. Foster a culture of compliance awareness and adherence throughout the organization.

6. Investigations and Resolution: Investigate compliance breaches, incidents, and complaints. Take appropriate corrective and preventive actions to address issues and prevent recurrence.

7. Audit Support: Coordinate and support internal and external audits related to compliance matters. Collaborate with auditors to provide necessary documentation and facilitate audit processes.

Preferred candidate profile

Qualified Company Secretary (CS) with a valid membership from the Institute of Company Secretaries of India (ICSI).

Clear understanding of SEBI regulations and compliance requirements applicable to portfolio management services.

Successful completion of the NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination.

Minimum of 3 years of experience in compliance roles within the financial services industry, preferably in portfolio management services, AIF, Broking House, or Mutual Fund House.

Strong analytical skills with the ability to assess regulatory requirements and mitigate compliance risks effectively.

Excellent communication and interpersonal skills, with the ability to interact with internal stakeholders, regulatory authorities, and external auditors.

Proven ability to work independently, manage multiple tasks, and prioritize workload effectively.