Operations Manager - Compliance - Financial Industry

- Ensure company's policies and procedures comply with regulatory and ethical standards.

- Analytical professionals perform regular audits, develop & implement company policies, and design control systems.

- Managing static set ups, trade lifecycle of OTC, AIF, PMS, KPI calls,

- Due diligence meeting, monthly oversight calls, crisis calls, on boarding new process & products

- Must be familiar with SEC (Securities and Exchange Commission) regulations & FINRA (Financial Industry Regulatory Authority) rules.

- Advise management on the company's compliance with laws and regulations through detailed reports.

- Ability to lead a team of 2-3 officers

Desired Qualification :

- Bachelor's degree in Law, Business Administration, CS, MBA (Finance), or any relevant degree.

- A minimum of 5 years experience in managing Compliance & Operations.

- Strong knowledge of industry processes and regulations.

- Outstanding communication and interpersonal abilities.

- An analytical mindset with excellent organizational skills.

- CANDIDATE MUST BE CURRENTLY WORKING IN OR A LOCALITY WILLING TO WORK IN PUNE