Key Responsibilities: Regulatory Compliance: - Monitor and interpret relevant financial regulations, laws, and guidelines that impact portfolio management and investment advisory activities. Ensure that the firm's activities comply with these requirements. - Stay up to date with relevant laws, regulations, and guidelines pertaining to the PMS industry, financial markets, risk management, and regulatory affairs. - Develop and implement strategies to ensure compliance with applicable regulations and guidelines. - Collaborate with legal and regulatory teams to respond to regulatory inquiries and conduct regulatory reporting as required. Policy Development: - Develop, implement, and maintain compliance policies and procedures specific to portfolio management, registered investment advising, and investment advisory services. - Collaborate with legal and risk management teams to align compliance objectives. Compliance Programs: - Design, implement, and maintain effective compliance programs for PMS, RI, and RA activities. - Conduct regular compliance risk assessments to identify areas of potential vulnerability and recommend appropriate measures to mitigate risks. - Develop and deliver compliance training programs to educate employees about regulatory compliance, risk management, and internal policies. Investment Adviser Registration: - Oversee the registration process and ongoing compliance obligations of the firm as a Registered Investment Adviser (RIA) with relevant regulatory bodies. Risk Assessment and Management: - Identify, assess, and mitigate potential compliance and regulatory risks associated with portfolio management, investment advising, and RIA activities. - Develop risk management strategies and controls. Regulatory Filings and Reporting: - Ensure accurate and timely submission of required regulatory filings and reports related to investment advisory activities and RIA compliance. Portfolio Management Compliance: - Ensure that portfolio management processes and strategies adhere to compliance requirements and industry best practices. - Monitor portfolio activities for any potential violations. Client Relationships: - Collaborate with client-facing teams to ensure compliance with client agreements, disclosure documents, and investment guidelines. Internal Audits: - Coordinate and support internal and external audits related to portfolio management, investment advisory services, and RIA compliance. Training and Education: - Develop and deliver training programs to enhance compliance awareness and understanding among portfolio managers, investment advisers, and relevant staff. Vendor and Third-Party Oversight: - Evaluate compliance practices of external vendors, service providers, and third-party partners involved in portfolio management and investment advisory activities. Regulatory Intelligence: - Stay informed about evolving regulatory developments, industry trends, and best practices related to portfolio management, investment advising, and RIA compliance. Collaboration: - Work closely with legal, risk management, operations, investment, and client services teams to ensure a coordinated approach to compliance and client service. Qualifications and Skills: - Bachelor's degree in finance, business, law, or a related field. Advanced degree (e.g., MBA, JD) or relevant professional certifications (e.g., CFA, CCO) are often preferred. - Extensive experience (typically 10+ years) in compliance roles within the financial services industry, with a strong focus on portfolio management, investment advisory, and RIA compliance. - Comprehensive knowledge of relevant financial regulations, industry standards, and investment advisory rules. - Strong analytical, problem-solving, and strategic thinking skills. - Excellent communication, leadership, and team management abilities. - Detail-oriented with a proactive approach to identifying and addressing compliance issues. - Proficiency in compliance software, tools, and systems. - Ability to navigate complex regulatory landscapes and provide strategic compliance guidance.

Mumbai

Markets Mojo - Manager - Compliance - PMS 

Job Description for Markets Mojo - Manager - Compliance - PMS  in Markets Mojo in  Mumbai for (3-5) years of experience. Apply Now!