Senior GRC Analyst

Dezerv is a house of investing solutions for high-net-worth and affluent Indians. Dezerv is co-founded by Sandeep Jethwani, Vaibhav Porwal, and Sahil Contractor. They have led successful wealth management businesses and managed over USD 7 billion in assets. The Dezerv team brings together decades of investing expertise from leading global financial institutions like JP Morgan, UBS, BNP Paribas, etc. Our team of experts monitors the performance of portfolios and rebalance them if required to ensure long-term success. We are backed by marquee firms like Premji Invest, Accel, Elevation, Matrix, etc. Since inception, our clients have trusted us with over 12000+ Crs of their assets.

Why are we building Dezerv?

Investing is stressful and emotional. Building & growing wealth is difficult and time-consuming. Most individuals struggle with managing their investments and money. Our goal is to help individuals grow their wealth without the stress, time, and costs involved in a traditional investment. At Dezerv, we are building a platform that leverages our decades of investment expertise to help individuals invest better for their future.

What are we trying to solve/mission?

We are passionate about helping Indians invest better. We manage investments with active oversight to help both sophisticated and new investors build long-term wealth across various market conditions.

Key Responsibilities:

Governance:

• Develop, implement, and maintain internal policies, procedures, and controls to ensure adherence to SEBI regulations, internal guidelines, and industry best practices.
• Assist in establishing and maintaining robust corporate governance structures, including defining roles, responsibilities, and reporting lines with regards to information security.
• Prepare and present regular reports on GRC matters to senior management, and relevant committees.
• Facilitate internal and external audits, ensuring timely provision of information and resolution of findings.
• Maintain Oversight on the first line of defence both on adhoc as well as continuous basis.

Risk Management:

• Identify, assess, and prioritize operational, financial, regulatory, technological (including cybersecurity), and reputational risks pertinent to the PMS business.
• Develop and implement risk mitigation strategies and action plans.
• Conduct regular risk assessments and maintain a comprehensive risk register, including risk appetite and tolerance levels.
• Monitor key risk indicators (KRIs) and report on the effectiveness of risk management controls.
• Ensure adherence to SEBI's guidelines on Cyber Security and Cyber Resilience Framework for Portfolio Managers or any other relevant regulations.
• Implement and monitor adherence for robust incident management and business continuity plans.

Compliance:

• Maintain adequate adherence to internal policies
• Maintain complete adherence to all regulatory guidelines
• Work closely with internal audit to minimize infosec observations and deviations
• Ensure internal controls are in place from an information security perspective at all times including key deviations and conditional signoffs.
• Assist and ensure legal team with timely and accurate submission of all regulatory filings and reports to SEBI and other relevant authorities.
• Conduct periodic compliance reviews and audits to assess adherence to regulatory requirements and internal policies.
• Develop and deliver compliance training programs for employees to foster a strong culture of compliance.
• Ensure all marketing materials and client communications comply with SEBI advertising code and disclosure norms.
• Oversee third-party risk management, ensuring vendors and service providers adhere to required compliance and security standards.

Qualifications & Skills:

• Experience:

  3-6 years of experience in Governance, Risk, and Compliance roles within the financial services industry, preferably with a SEBI-regulated entity (PMS, AMC, Stock Broker, etc.).

• Certifications:

  CISA, CISSP and CEH, CISM

• Regulatory Knowledge:

  In-depth understanding of SEBI (Portfolio Managers) Regulation and other relevant SEBI regulations, circulars, and guidelines.

• GRC Frameworks:

  Familiarity with GRC frameworks

  (e.g, ISO 27001 ,NIST)

  and best practices.

• Analytical Skills:

  Strong analytical, problem-solving, and critical thinking abilities to identify complex issues and propose effective solutions.

• Communication:

  Excellent written and verbal communication skills, with the ability to articulate complex regulatory requirements clearly and concisely to diverse stakeholders.

• Attention to Detail:

  Meticulous attention to detail and a high degree of accuracy in all work.

• Proactive & Self-Starter:

  Ability to work independently, prioritize tasks, and manage multiple deadlines in a fast-paced environment.

• Technology Proficiency:

  Proficiency in GRC software/tools( Archer, sprinto, scrut) and MS Office Suite (Excel, Word, PowerPoint).