10 - 15 years
25 - 30 Lacs
Posted:13 hours ago|
Platform:
Work from Office
Full Time
We are currently hiring for one of the large PMS and Wealth Management Companies spread across India and having an Assets under advise of over 1 L crores.
This is a full-time on-site role for a Vice President - Investment Risk (Wealth / PMS) located in Mumbai.
The person will be responsible for
a) Identification of Risk and Implementation of Controls for Circulars issued by Regulators (RBI, SEBI, Exchanges) and Compliance to Internal policies and Global Standards.
b) Ensuring that the company is conducting its business in full compliance with all laws and regulations that pertain to industry, as well as professional standards, accepted business practices, and internal standards.
c) Evaluate Business cases from Financial Crime, Fiduciary Risk, Conduct and Reputation risk perspective and approve as per the risk appetite.
d) Conducting Pre-Audit Sweep and handling Audit (Internal / External) and Regulatory Inspections (~30 audits/ inspections annually). Resolving queries of the auditors, maintaining track & testing of audit observations.
e) Performing Control Monitoring (Testing) for areas like Investment Suitability, Cross Border, Large Transaction Monitoring, Portfolio Management, Dealing, Broking and conducting horizontal reviews.
f) Conduct risk reviews on the new / amendment in existing products (Investment Advisory, Research, Mutual Funds, Bonds, Dealing, PMS, Alternative Investment, Loans, Insurance) and provide risk solutions.
Sashr Consultants
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