Unifi Capital - Manager - Internal Audit & Operational Risk (7-12 yrs)

Role: Manager - Compliance and Risk

Location: Chennai

Experience: 7 to 12 years

About Unifi Capital:

Unifi Capital is one of India's largest independent portfolio managers with a legacy of more than 22 years. The firm was founded with a focus on under-researched segments comprising over 400 listed firms, which has significantly paid off, leading to consistent investment outperformance.

Our combined AUM (as of May 2024) is USD 3+ Bn across various SEBI- and IFSCA-regulated platforms - PMS, AIF, and Offshore. We serve about 11,000 diverse clients including institutions, family offices, and high-net-worth individuals, delivering consistent and superior returns.

At Unifi Capital, we believe our people are the heart and soul of our success. About 25% of its 125-member team has been with the firm for over a decade, reflecting strong internal cohesion and commitment.

Role Overview:

We are looking for a proactive, action-oriented Risk and Compliance professional to assist the Compliance Officer by leading internal audit and risk management, ensuring adherence to regulatory standards and proactively identifying areas for improvement. This role demands a strong foundation in compliance, internal audit, and risk management within the financial services sector.

Key Responsibilities:

- Plan and manage comprehensive internal audits for PMS/AIF/Broking with an external audit firm and identify control gaps, evaluate risks, and provide recommendations to improve efficiency, compliance, and risk mitigation.

- Monitor the results of the audit and engage with management to ensure that findings are adequately addressed.

- Identify opportunities for process improvements to enhance efficiency and reduce risks and collaborate with other departments to implement best practices across the firm.

- Monitor changes in regulatory requirements from SEBI, exchanges and other regulators, and update internal policies accordingly. and ensure adherence.

- Prepare periodic compliance reports and metrics for management and regulatory bodies.

- Implement compliance programs and processes to track compliance with internal policies, regulations.

The ideal candidate should possess:

- A self-starter who takes ownership and drives results.

- Qualified and experienced professional with 7+ years of experience in audit, compliance, risk management, or related roles within the financial services industry.

- Exceptional written and verbal communication abilities, including report writing and presentation skills.

- A flair for understanding securities regulations and building compliance culture.

At Unifi Capital, we offer a competitive compensation package and a work environment that fosters growth and development.