Compliance Officer - Mumbai, India - Arin Consultancy

Arin Consultancy

Verified Company

Mumbai, India

4 weeks ago

Posted by:

Deepika Kaur

beBee Recuiter

Description

Compliance Mumbai _Mumbai Western Suburbs_ August 11, August 11, 2024 Mutual Fund

Job Overview:

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Office Location (Area) Mumbai
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Required Education Company Secretary and/or LLB
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Course Type Full Time
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Min Required Experience (Years) 15
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Max Required Experience (Years) 20

Roles & responsibilities:

a. Oversee and manage the compliance and secretarial functions end-to-end of the entire platform. NBFC (ND-SI), AIF, PMS, Investment advisor & stock broking compliances are the prime focus areas.

b. Liaise with regulators like RBI, SEBI & ROC and other regulators as needed.

c. Review and ensure submission of various regulatory filings

d. Proactively advise the leadership team on potential compliance related risks and risk mitigation strategies.

e. Monitor regulatory changes, assess impact on business, provide comments on consultative papers

f. Over a period, expected to build a team for different sub-functions, as required

g. Recommend and institutionalize best governance policies and practices.

h. Interact with the board of directors and audit committee

i. Establish an audit program for the various licenses

j. Drafting and Review of commercial agreement

DNA:

You will be expected to take a lot of initiative to do onthejob learning about different financial instruments, products, regulatory structures both onshore and offshore.
You will be required to be flexible across functions and lead multiple projects simultaneously.
We expect you to have higher energy, higher intellectual capability and a desire to handle bigger responsibilities than an average professional of your age/experience will generally do.

In the long run, if you do well, you can expect to create disproportionately higher value for yourself.