&nbsp;We are looking out for a CA/ CS Qualified professional into Compliance domain for one of the oldest Financial Services NBFC for their Private Wealth Division. An Apt fitment of the candidate would be the one with knowledge of PMS regulations and Registered Investment Advisor compliances. Below are the Key points that describe the nature of the job role : 1. Establish the framework of conducting distribution business under POA or Custodian model and Liaise with the concerned third parties &amp; legal consultants to set up the offering for the business. Manage on-going compliance and set up ops processes in line with SEBI guidelines and industry norms for this offering 2. SEBI compliance for PMS related activities 3. Design and frame internal compliance policies. Review SEBI &amp; other regulatory circulars, notifications or policies and align organisation's activities in line with requirements of the regulators 4. Conduct compliance audit on internal employees and train the sales and ops team to adhere to internal compliance policies 5. Review communications sent to clients ongoing basis. 6. Review Internal Audit reports to ensure that none of the findings are repeated and work on addressing concerns. 7. Respond to - queries raised by Various stake holders. In cases where an in-depth discussion is required, raise it with the relevant people and get it addressed. Qualification : MBA Finance/ CA or a CS Work Experience of 8-18 years Reporting to COO Amit

Mumbai

AVP/VP - Compliance - CA/CS - Private Wealth Division  

AVP/VP - Compliance - CA/CS - Private Wealth Division   ,Job Description for AVP/VP - Compliance - CA/CS - Private Wealth Division   in DSP Eminence Consulting Services in  Mumbai for (8-17) years of experience. Apply Now!

Job Description for AVP/VP - Compliance - CA/CS - Private Wealth Division   in DSP Eminence Consulting Services in  Mumbai for (8-17) years of experience. Apply Now!