VICE PRESIDENT – COMPLIANCE  We have been retained by our client, a well established, professionally managed, bank to identify a Vice President – Compliance for their Wealth Management Business. The position will be based at Mumbai.   JOB PURPOSE:  - Regulatory compliance monitoring of wealth management activities.  - Compliance monitoring of NBFC and group companies’ compliance matter.  - Follow up with departments/business lines for implementation of regulatory guidelines and internal instructions issued by compliance department.  - AML sanctions monitoring.  RESPONSIBILITIES:  - Regulatory compliance in the area of Indian Debt and Capital market activity, Portfolio Management Service and to monitor adherence to local regulations and group/regional guidelines.   - Validation of account opening and related documents for wealth management clients.  - Ensure regulatory compliance of NBFC and those of group companies. Periodic review of procedures and suggest modification to Indian debt and capital market, compliance of the bank in conformity with changing regulations, group/regional guidelines with vigorous focus on products dealt in the Indian debt and capital market and PMS.  - Liaisoning with the regulatory authorities, self regulated organisations, counterparties to resolve compliance issues, offer active support to business lines for regulatory clearances, clarifications and taking up the matters proactively with the regulators and the matters concerning business of the bank.   - Interpretation of circulars, instructions from RBI, SEBI etc. on Indian debt & capital market, PMS and advising business/marketing lines on regulatory matters.  - Monitoring of system followed by front office and back office/branches with respect to wealth management activities.  - Monitoring of overall compliance activities of NBFC and of group companies etc.   - Compliance with regulatory inspection comments related to wealth management and implementing suggested changes and controls.   - Preparation, follow up for additional license, renewals, registration with SEBI, stock exchanges and other authorities.  - Permanent control, second level control related to activities of group companies, wealth management and NBFC.  - Reporting compliance issues to various internal and external Inspectors.   - Timely alerts to territory head of compliance, to ensure no regulatory breaches by bank.  - Prepare compliance reports for audit committee/management committee and various other committees/ on wealth management, NBFC and group companies.  - Various approvals and periodical reporting to head office and regulator.  - Follow up, carry out, updates/ amendments etc. to wealth management, NBFC, group companies policy & all other policies of the bank, suggest improvements.  - Besides the normal compliance function, follow up of regulatory guidelines / internal instructions pertaining to wealth management, NBFC and group companies.   - Should be able to be one point contact, reference on matters pertaining to wealth management, NBFC and group companies compliance activities for reference to clarification by branches and departments.   KEY ATTRIBUTES  - Knowledge of compliance and regulatory matters  - Strong analytical skills  - A disciplined approach to Planning, Execution and Tracking of issues to resolution  - Strong team player, able to work collaboratively with colleagues.   - Excellent communication skills for documenting and explaining findings  - Strong influencing skills for obtaining buy-in to resolve findings   - Drive and enthusiasm  - A positive, “can do” attitude  Ideal candidates must be qualified Chartered Accountants or Company Secretaries with a degree in Law and with 8 to 12 years experience.  Please forward a one page cover note summarising how you meet the eligibility criteria.  Interested candidates meeting with the above requirements may please respond with a recent photograph and resume in word format

Mumbai

Vice President - Compliance - BFSI/BNFC 

Vice President - Compliance - BFSI/BNFC  ,Job Description for Vice President - Compliance - BFSI/BNFC  in Corporate Search & Placements Pvt. Ltd. in  Mumbai for (8-12) years of experience. Apply Now!

Job Description for Vice President - Compliance - BFSI/BNFC  in Corporate Search & Placements Pvt. Ltd. in  Mumbai for (8-12) years of experience. Apply Now!