Compliance Manager
Compliance Manager
Posted on :
26-12-2024
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1 Vacancy
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Job Description
Job Title: Compliance Manager
Location: C309 Kanakia Zillion Lal Bahadur Shastri Marg Rupa Nagar Kapadia Nagar Mumbai Maharashtra 400070. (Hybrid Working Model)
Job Summary:
We are seeking an experienced Compliance Manager to oversee our compliance framework ensuring that all operations adhere to legal regulations and internal policies. This role requires a proactive approach to coordinating with regulatory bodies managing compliance documentation and maintaining an uptodate understanding of the regulatory landscape affecting our business.
We are seeking an experienced Compliance Manager to oversee our compliance framework ensuring that all operations adhere to legal regulations and internal policies. This role requires a proactive approach to coordinating with regulatory bodies managing compliance documentation and maintaining an uptodate understanding of the regulatory landscape affecting our business.
Key Responsibilities:
Coordinate with our Company Secretary firm to ensure full compliance with audit requirements for SEBIregistered RA firms.
Monitor and manage activities related to SCORES 2.0 (SEBIs portal for lodging complaints) maintaining a daily log of complaints and ensuring effective resolution.
Keep accurate and current records of all daily published trading and investing strategies including Options Structures and SimplyHedged Funds.
Develop and enforce robust compliance programs and policies that mitigate legal and regulatory risks.
Educate and train staff on compliance requirements and foster a culture of compliance throughout the organization.
Stay informed about changes in regulations that may affect the firm and adapt compliance strategies accordingly.
Prepare detailed compliance reports for senior management outlining issues solutions and progress.
Coordinate with our Company Secretary firm to ensure full compliance with audit requirements for SEBIregistered RA firms.
Monitor and manage activities related to SCORES 2.0 (SEBIs portal for lodging complaints) maintaining a daily log of complaints and ensuring effective resolution.
Keep accurate and current records of all daily published trading and investing strategies including Options Structures and SimplyHedged Funds.
Develop and enforce robust compliance programs and policies that mitigate legal and regulatory risks.
Educate and train staff on compliance requirements and foster a culture of compliance throughout the organization.
Stay informed about changes in regulations that may affect the firm and adapt compliance strategies accordingly.
Prepare detailed compliance reports for senior management outlining issues solutions and progress.
Qualifications:
Bachelors degree in Law Finance Business Administration or a related field. Masters degree or professional compliance certifications (e.g. CCO CRCM) preferred.
A minimum of 5 years of experience as a Compliance Manager in the financial services industry with a strong preference for candidates familiar with SEBI regulations and compliance management for RA firms.
Comprehensive knowledge of the regulatory framework governing financial services and research analysis.
Exceptional analytical organizational and communication skills.
Proven ability to manage multiple tasks and projects effectively under tight deadlines.
Demonstrated integrity and professionalism.
Bachelors degree in Law Finance Business Administration or a related field. Masters degree or professional compliance certifications (e.g. CCO CRCM) preferred.
A minimum of 5 years of experience as a Compliance Manager in the financial services industry with a strong preference for candidates familiar with SEBI regulations and compliance management for RA firms.
Comprehensive knowledge of the regulatory framework governing financial services and research analysis.
Exceptional analytical organizational and communication skills.
Proven ability to manage multiple tasks and projects effectively under tight deadlines.
Demonstrated integrity and professionalism.
Work Schedule:
Working days: Monday to Saturday
Work from Home: Saturdays
Working days: Monday to Saturday
Work from Home: Saturdays
Employment Type
Full Time
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