Assistant Vice President - Compliance - Private wealth

- Advise management on the company's compliance with laws and regulations through detailed reports.

- Create and manage effective action plans in response to audit discoveries and compliance violations.

- Regularly audit company procedures, practices, and documents to identify possible weaknesses or risks.

- Assess company operations to determine compliance risk.

- Develop and review company policies.

- Ensure all employees are educated in the latest regulations and processes.

- Resolve employee concerns about legal compliance.

- Ensuring the Compliance of AML & Employee trading policy & Code of conduct for Employees

- Assist in monitoring of Investment Risk Framework and highlight the deviations.

The role requires regulations / compliance around:

- IA and Distribution

- PMS/ AIF

- Global fund including distribution.

- NBFC - with RBI

- To prosper in this role, you should be fluent in risk management and our industry's principles.

- Implement and manage an effective compliance and investment risk management program.

- Good knowledge of regulatory requirements and procedures. Preference will be given to those having experience in handling compliances of Portfolio Manager, AIF, RIA, Distribution model of Investment products.

- Understanding of business, including interpretation of various regulations is a must.

Qualification:

- CS/CA and / or bachelor's degree in law, finance, business management, or a related field.

- Work Experience At least 5-6 years of recent experience in SEBI regulated orgs.