Assistant Manager - Compliance & Risk

Job Summary:

The role will support the internal functions of ("the Firm"), within the risk and compliance verticals. This role requires a deep understanding of SEBI regulations, more particularly Prohibition of Insider Trading Regulations and rules & regulations applicable to a private company under the Companies Act, 2013.

Job Responsibilities:

1. Spearhead Insider Trading Compliances including monitoring and reporting trading by designated persons

2. Maintain the Structured Digital Database of the Firm required under SEBI Regulations

3. Assist in conflict management processes, where required

4. Ensure Stock exchange compliances and SEBI compliances

5. Facilitate Secretarial, Internal, Statutory Audits and Risk Audits.

6. Assist in Board and Committee meetings (incl. communication with all business stakeholders).

7. Prepare documentation of agenda, minutes, the outcome of the various meetings, and other necessary activities, and ensure necessary filing/reporting thereof.

8. Draft and update compliance manual and update statutory compliance reporting processes and compliance checklists, policies, and procedures

9. Introduce system-based workflow and assist in the automation of procedures relating to the compliance, conflict and risk functions.

Key Skills required:

1. Strong communication and interpersonal skills with the ability to influence the Management Board, Managing Partners and Other Partners

2. Good presentation skills

3. Excellent stakeholder management and problem-solving skills

4. Change management and project management capabilities

5. Strategic and business acumen

Key qualification required:

1. Minimum of 5-6 years of relevant experience, in the secretarial or compliance department of a financial services entity

2. Associate Member of the Institute of Company Secretaries of India

3. Should have handled technology applications relevant to the secretarial or compliance function