Senior Consultant at ESP Consultant
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Assistant Vice President - Compliance - Financial Services Firm (8-15 yrs)
Urgent Position of AVP Compliance with a Financial Services Company in Mumbai
Key Responsibilities :
- Liasoning with Regulators and actively engaged in participation on various regulatory matters with the Industry.
- Handling multiple tasks on the compliance side including handling regulatory inspections.
- Regulatory interface for the business units, acting as focal point of contact for regulators. Liaison with teams across the Company for providing information to regulators on time.
- Drafting applications and seeking regulatory approvals.
- Drafting, updating of regulatory and business policies/ processes.
- Advising on the Strategic deals/ transactions and advising on new product launches
- Assisting in coordination with legal counsels, reviewing documents, closing out transaction documents.
- Monitoring regulatory updates and disseminating the same to all concerned stakeholders and discussions with stakeholders.
- Conducting compliance reviews, alert senior management to significant compliance issues along with recommendations.
- Co-ordination during the implementation of the Compliance monitoring system.