Sr Manager - Quality & Risk Management - CA

Phenom Placement
  • Mumbai
  • 10-15 lakh
  • 8-12 years
  • 290 Views
  • 19 Oct 2016
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  • Risk Management, Compliance/ Regulatory

  • Financial Services/ Capital Markets, Banking - Retail
Job Description

Brief Responsibilities:

- Person to be part of the internal Risk Management team of the firm and to handle the following job functions in a non-client facing role:

- Act as internal compliance manager

- Conduct periodic compliance checks and prepare reports

- Provide guidance/consultation to client serving teams with company's policies, right from proposal to deliverable stage, viz.

a) Client and Engagement Acceptance,

b) Conflicts,

c) Hospitality and Gifts Involving Clients,

d) Record Retention,

e) Directorships, etc.

- Provide feedback to senior management on Risk Management issues

- Liaise with Global Risk Management teams

- Manage existing, as well as help develop new tools and functionalities based on evolving Risk Management requirement

- Support the firm in maintaining regulatory compliance.

Qualification : CA with Relevant Experience in Compliance/Risk Management


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Phenom Placement