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08/04 Anubhooti
Senior Consultant at ESP Consultant

Views:342 Applications:103 Rec. Actions:Recruiter Actions:9

Assistant Vice President - Compliance - Financial Services Firm (8-15 yrs)

Mumbai Job Code: 911730

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.

Women-friendly workplace:

Maternity and Paternity Benefits

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