Job Description
Position Title
Executive/ Senior Executive Compliance
Department
Compliance
Level/ Band
201 /251-Executive/Senior Executive
Role Summary:
· Undertake system based monitoring, to assess for breaches during investment and report on aberrations identified
· Ensure limits for funds are incorporated in the system and undertake UATs for limits on funds investment allocation patterns
B Organizational Relationships
Reports T o
Manager Compliance / Senior Manager Compliance (Investment & Operational Compliance, Reviews)
Supervises
Individual contributor
C Job Dimensions
Geographic Area Covered
PAN India (Investment Compliance management)
Stakeholders Internal
Investment Operations (monitoring of limits as per regulations, operatiosn in line with Investment compliance)
Product Management (system requirements / limits, definition in new / revised products)
Actuarial (limits definition for new / revised products)
External
No Direct Interaction
Provides inputs to Manager for reporting to IRDA
D Key Result Areas
· Undertake system based monitoring, to assess for breaches during investment and report on aberrations identified
· Ensure limits for funds are incorporated in the system and undertake UATs for limits on funds investment allocation patterns
· Review inputs in system to ensure adherence to regulatory limits
· Undertake daily tracking of funds for adherence to limits and investment processes
· Track for employee disclosures to ensure no insider trading
· Ensure adherence to regulatory norms of Dealing Room Policy on processes spanning NAV checks, valuation process, etc
· Assess fund fact sheets for inputs on fund asset allocation patterns and report findings to team lead
E Skills Required
Technical
§ Good Knowledge of MS Office
Behavioral
Essential
Desired
Interpersonal skills
·
Communication skills
·
Creative thinking skills
·
Supervising/Leadership skills
·
Teamwork Skills
·
Influencing skills
·
Relationship Building skills
·
Decision making skills
·
F I ncumbent Characteristics
Essential
Desired
Qualification
Chartered Accountant with understanding of markets, investment products and constructs
Experience
2 - 4 years experience in Investment Operations / Investment Compliance roles in BFSI
Executive/ Senior Executive Compliance
Department
Compliance
Level/ Band
201 /251-Executive/Senior Executive
Role Summary:
· Undertake system based monitoring, to assess for breaches during investment and report on aberrations identified
· Ensure limits for funds are incorporated in the system and undertake UATs for limits on funds investment allocation patterns
B Organizational Relationships
Reports T o
Manager Compliance / Senior Manager Compliance (Investment & Operational Compliance, Reviews)
Supervises
Individual contributor
C Job Dimensions
Geographic Area Covered
PAN India (Investment Compliance management)
Stakeholders Internal
Investment Operations (monitoring of limits as per regulations, operatiosn in line with Investment compliance)
Product Management (system requirements / limits, definition in new / revised products)
Actuarial (limits definition for new / revised products)
External
No Direct Interaction
Provides inputs to Manager for reporting to IRDA
D Key Result Areas
· Undertake system based monitoring, to assess for breaches during investment and report on aberrations identified
· Ensure limits for funds are incorporated in the system and undertake UATs for limits on funds investment allocation patterns
· Review inputs in system to ensure adherence to regulatory limits
· Undertake daily tracking of funds for adherence to limits and investment processes
· Track for employee disclosures to ensure no insider trading
· Ensure adherence to regulatory norms of Dealing Room Policy on processes spanning NAV checks, valuation process, etc
· Assess fund fact sheets for inputs on fund asset allocation patterns and report findings to team lead
E Skills Required
Technical
§ Good Knowledge of MS Office
Behavioral
Essential
Desired
Interpersonal skills
·
Communication skills
·
Creative thinking skills
·
Supervising/Leadership skills
·
Teamwork Skills
·
Influencing skills
·
Relationship Building skills
·
Decision making skills
·
F I ncumbent Characteristics
Essential
Desired
Qualification
Chartered Accountant with understanding of markets, investment products and constructs
Experience
2 - 4 years experience in Investment Operations / Investment Compliance roles in BFSI
💡 Quick Summary
Seeking a career-building opportunity? The Executive position is now open for candidates interested in the Operations Executive Jobs sector. This role in Mumbai offers a professional environment and growth potential.
Requirement Snapshot: Candidates should possess basic communication skills, a proactive attitude, and the ability to work in a team. Experience in Operations Executive Jobs is a plus.