Compliance Manager - Financial Services (7-11 yrs)

Highlights :

1. A compliance officer role, not Company Secretary.

2. Financial Services experience in AMC with across products especially AIF.

Role Requirements:

1) Education: Any Post Graduate with full time education may it be CS, LLB, M.Com, MBA.

2) Experience: Should have minimum experience of 7 to 11 years in compliance teams for AMC with exposure across products of MF, PMS and AIF.

3) Strong analytical skills with expertise in process improvement.

4) Strong understanding of regulatory frameworks and ongoing changes.

5) Excellent ability to manage cross-functional stakeholders.

6) High attention to detail, problem-solving abilities, and a results-oriented mindset.

Job Purpose:

The incumbent will lead and manage compliance-related projects within the organization, ensuring alignment with regulatory requirements, company policies, and industry standards. The role involves coordinating cross-functional teams, driving timely project delivery, and developing innovative compliance solutions that mitigate risk while supporting the organization's strategic goals. He/she will also serve as a key liaison between internal stakeholders and external regulatory bodies, fostering a culture of compliance and ethical business practices.

Job Specifications:

Role Designation: Compliance

Department: Compliance

Function: Compliance

Company: An Indian-based integrated technology-based financial services firm offering a range of financial products and services such as Private Wealth, Retail Broking and Distribution, Institutional Broking, Asset Management, Investment Banking, Private Equity, Commodity Broking, Currency Broking, and Home Finance.

1. Company has delivered good profit growth of 52.7% CAGR over last 5 years

2. Company has a good return on equity (ROE) track record: 3 Years ROE 25.3%

3. Company's median sales growth is 39.9% of last 10 years

Reporting to: Head - Group Chief Compliance Officer

Location: Mumbai, Lower Parel

Key Deliverables:

1) Regulatory Compliance:

a. Stay updated on regulatory changes impacting broking and asset management industries (e.g., SEBI, RBI, AML guidelines).

b. Ensure implementation of new regulations within the organization through structured projects

c. Collaborate with compliance teams to conduct gap analyses and create remediation plans.

2) Stakeholder Engagement:

a. Liaise with internal departments (legal, IT, operations) and external stakeholders (regulators, auditors) to ensure smooth execution of compliance projects.

b. Communicate project updates, progress, and challenges to senior management and relevant stakeholders.

3) Project Management:

a. Develop and manage detailed project plans, timelines, and budgets for compliance initiatives

b. Monitor project progress, identify risks, and implement mitigation strategies.

c. Ensure project deliverables align with regulatory requirements and organizational goals.

4) Process Improvement:

a. Identify opportunities to enhance compliance processes and implement automation or digital solutions where feasible.

b. Standardize documentation and reporting for compliance-related projects.

5) Training and Awareness:

a. Conduct training sessions for employees to enhance awareness of compliance policies and project objectives.

b. Support teams in understanding and implementing compliance requirements within their respective functions.

6) Audit and Reporting:

a. Support regulatory audits by preparing documentation and facilitating information requests.

b. Prepare and present project status reports, compliance dashboards, and post-project reviews.