Posted 28 May, 2026
Compliance/Risk Head
solversINC
Mumbai,Maharashtra,India,400021
Full Time
Reference: 474_449959_374641000003112211
\n <\/head>\n \n \n
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- <\/span><\/span><\/span><\/span>Address day to day compliance alerts\/warnings (including both pre trade and overnight batch compliance) related to trading strategies and the application of technology related or manual controls created and applied during this process<\/span><\/span><\/span>
<\/li>\n- <\/span><\/span><\/span><\/span>Perform daily review of portfolio transactions and monitor compliance investment restrictions as they apply to holdings and transactions, identifying breaches and following up with respective parties to ensure rectification<\/span><\/span><\/span><\/span>
<\/li>\n- <\/span><\/span><\/span><\/span>Perform the review of regulatory and client guidelines for conversion into rules for compliance monitoring systems<\/span><\/span><\/span><\/span>
<\/li>\n- Prepare documentation to support reviews conducted and to substantiate\/demonstrate adequate processes\/controls to meet FCA regulatory requirements<\/span><\/span><\/span><\/span>
<\/li>\n- Assist in advising Front Office and other interested parties on compliance matters<\/span><\/span><\/span><\/span>
<\/li>\n- <\/span><\/span><\/span><\/span>Assist with ongoing review of relevant processes and procedures to ensure best practice<\/span><\/span><\/span><\/span>
<\/li>\n- <\/span><\/span><\/span><\/span>Attend selected meetings\/committees as a representative of Compliance<\/span><\/span><\/span><\/span>
<\/li>\n- Being the Risk management SME in the company and providing advice, guidance, training and tools to enable the embedding of risk management <\/span><\/span><\/span><\/span>
<\/li>\n- Risk assessment to identify the Key risks with the business & development of Risk management practices. <\/span><\/span><\/span><\/span>
<\/li>\n- To create an Operations Risk Management (ORM) framework to ensure operational risks are effectively identified and managed.<\/span><\/span><\/span><\/span>
<\/li>\n <\/ul>\n\n
\n <\/div><\/span>Requirements<\/h3>\n
\n 10 \-12Years of post\-qualification experience in Financial Services,Banking,Investments,working in senior risk and compliance roles within
\n <\/div>\n\n organisations
\n <\/div>\n\n Experience in designing and implementing risk management and compliance processes.
\n <\/div>\n\n Mandatory experience in dealing with a Regulator (RBI, SEBI,) & AIF exposure
\n <\/div>\n\n Graduate in any discipline and qualified CS + LLB. Qualified CA + CS \/ LLB will be an added advantage.
\n <\/div>\n\n Preferred \- Knowledge of Failure Mode Effect Analysis (FMEA)& Certified risk manager (CRM)
\n <\/div><\/span>
\n <\/body>\n<\/html> - <\/span><\/span><\/span><\/span>Perform daily review of portfolio transactions and monitor compliance investment restrictions as they apply to holdings and transactions, identifying breaches and following up with respective parties to ensure rectification<\/span><\/span><\/span><\/span>
