Compliance Manager - Wealth Management - CS

Compliance Manager - Wealth Management

Qualifications:

Qualified as Company Secretary with LLB or CA degree preferred.

Work Experience (highlight) :

A professional with at least 5-7 years of experience in Compliance across financial services

Core Purpose of the Role :

1. Manage Compliance aspects of Investment Advisory, Distribution & ND PMS.

2. Ensure all regulatory submissions / filing are done in time and record is maintained

3. All relevant policies are regularly updated and ensure that the Entities are compliant with all statutory approvals

4. Ensure new circulars released by regulators i.e. SEBI/AMFI are reviewed, discussed and implemented (Guide various teams, make plan and ensure implementation)

5. Ensure that all Advisory, Distribution & ND PMS transactions are executed as per regulatory guidelines and within timelines

6. Manage relationships with regulators and assist with the Company's response to regulatory inspection / observations

7. Ensure timely completion of Internal/External Audits

8. Assist in various compliance matters / opinions in day to day activities, Review of various documents and ensure that all providers of products / services have contractual relationships enforce

9. Managing customer (internal) queries in a timely manner to resolve grievances

10. Regular updates / training to employees related to compliance, AML, Insider Trading etc. and ensure that the Sales, Advisory, Product & Operations team is compliant in all respects

11. To evaluate & oversee the development / use of specialized financial structures from a compliance perspective as and when sought by business teams, and also deal with external legal advisors for the same. As and when required, to liaise with & work closely with Law firms, Company Secretarial firms, and any such external / third parties that the firm may engage with from time to time

12. Review of surveillance alerts and action on the same

Skills:

1. Good understanding of the regulatory framework in financial businesses in India from a compliance perspective across multiple laws & regulators.

2. Understanding of formal communication protocols with regulators, exchanges, & relevant government departments is essential

3. Excellent communication skills, Interpersonal skills & adaptable.

4. Solution Orientation

5. Focused approach towards completion & compliance.

6. Capability to deal with a diverse set of stakeholders including management, leadership team, other employees, as well as auditors, exchanges, regulators, authorities and external consultant