Legal Job opening : Associate Manager – Compliance at Navi

About Company

Navi Technologies (erstwhile known as BACQ) is founded by Sachin Bansal & Ankit Agarwal to build consumer-centric and technology-driven businesses in the BFSI (Banking, Financial Services & Insurance) space.

Responsibilities

  • Support the (Mutual Fund) business in remaining compliance within the regulatory environment and managing their risk
  • Drive the identification, assessment, measurement, mitigation and monitoring of compliance risk as it pertains to the business.
  • Participate in the review of new business initiatives and transactions requiring pre-approval
  • Deliver independent risk assessment and reports that provide senior management with the risk profile of the firm.
  • Manage regulatory inquiries and examinations in close coordination with the CCO and Business partners.
  • Manage Scheme Information Documents filings, interactions with SEBI and provide compliance support the business team during launch of NFOs.
  • Collaborating with other stakeholders like Business, Product, Operations, Technology, Legal etc. to address compliance issues which many impact the function/business and develop approaches/ action plans to manage current and emerging risks.

Qualifications

  • Advanced Degree preferred – Law, CA, CS, Law.
  • Strong understanding of Compliance requirements and regulations. Exposure to requirements of multiple regulators viz. SEBI would be desirable.
  • Between 3-6 years post qualifications experience in Banking & Financial Services industry in a Compliance or control or risk advisory related function. Prior experience in the mutual fund industry is helpful.
  • Experience in managing regulatory inspections/ audits would be preferable.
  • Strong analytical and problem solving skills and can thrive under pressure.
  • Good interpersonal skills and people management skills.
  • Exceptional communication (both written and verbal) skills.

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