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Right Returns Financial Planning LLP

Organization: Right Returns Financial Planning LLPLocation: Prabhadevi, MumbaiPosition Title: Operations / Compliance OfficerFunction: Operations, ComplianceQualifications: <ul><li>Bachelor's or Post Graduate degree in Finance, Economics, Business, or related field</li><li>Methodical/systematic approach to work.</li><li>Good reading comprehension.</li><li>Excellent verbal and written communication skills.</li></ul>Work Experience: A professional with at least 3-5 years experience in Operations of handling the regulatory requirements of RIAs &amp; MFD division of a small financial advisory practice &amp; familiar with AMFI &amp; SEBI regulations.Responsibilities: Manage Compliance aspects of Investment Advisory (RIA), Mutual Fund Distribution<ul><li>Ensure all regulatory submissions/filings are done in time, and the record is maintained</li><li>All relevant policies are regularly updated</li><li>Ensure new circulars released by regulators i.e. SEBI/AMFI are reviewed, discussed and implemented (Guide various teams, make plan and ensure implementation)</li><li>Manage relationships with regulators and assist with the firm&rsquo;s response to regulatory inspection/observations</li><li>Ensure timely completion of Internal/External Audits</li><li>Assist in various compliance matters/opinions in day-to-day activities, Review of various documents, and ensure that all providers of products/services have contractual relationships enforced</li><li>Managing clients (internal) queries in a timely manner to resolve grievances</li><li>Regular updates/training to employees related to compliance and ensure that the Advisory, Planning &amp; Operations team is compliant in all respects</li><li>Review of surveillance alerts and action on the same</li></ul>Skills:<ul><li>Strong knowledge of the regulatory framework governing financial businesses in India, with experience across multiple laws and regulators.</li><li>Ability to manage compliance communication with auditors, regulators, exchanges, and government departments.</li><li>Excellent written and verbal communication skills with clear, structured articulation.</li><li>Strong interpersonal skills, adaptability, and a solution-oriented mindset.</li><li>Focused approach towards timely completion of compliance tasks and deliverables as per regulatory timelines.</li><li>Ability to collaborate effectively with internal teams, auditors, exchanges, regulators, authorities, and external consultants.</li><li>Professional appearance with strong workplace etiquette and people-friendly behavior.</li><li>Client-service oriented, with experience in interacting with market participants such as auditors, regulators, and mutual fund houses.</li><li>Team player with a respectful, approachable, and positive attitude.</li><li>Willingness to learn, accept guidance, and take initiative as a self-starter.</li></ul>Compensation: Compensation will be fair, as per experience &amp; industry standards.Work environment:We are a small sized team with versatile skills and diverse backgrounds and approaches. The organization is quite flat and client interaction and job satisfaction are amongst our strengths.Job Type: Full-timePay: &#8377;300,000.00 - &#8377;500,000.00 per yearWork Location: In person

Compliance Officer

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Right Returns Financial Planning LLP

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Compliance Officer