Head - Compliance - Investment Advisory - Broking Firm

Job opening for Head Compliance with Investment Advisory Company

Location: Mumbai, Dadar

Industry: Broking Only

Qualification: CS

Mandatory experience ith either AIF OR PMS

JOB ROLES:

- The role of strategy Leadership is to create and implement the company's strategy plan in accordance with the objectives and vision established by the board of directors.

- Exercise visionary leadership and cultivate an environment that values creativity, teamwork, and excellence.

- Compliance Oversight: o Closely oversee the Compliance team to guarantee that the PMS Guidelines, SEZ, SEBI AIF, IFSCA, Ancillary Services, and other pertinent regulations are strictly followed.

- Keep abreast of developments in the regulatory environment and adapt the organization as necessary.

- Corporate Governance: Establish strong corporate governance procedures and put them into action.

- Closely collaborate with the group to guarantee operational and business development across all areas.

- Legal Affairs: Manage the preparation, examination, and signing of master service agreements, licensing agreements, nondisclosure agreements, and other legal documents.

- Stakeholder Management: o To guarantee smooth operations and proactively address issues, cultivate and maintain good relationships with important stakeholders, including regulatory bodies.

- Risk management: o Reduce legal and regulatory risks by giving the Operating and Compliance teams clear direction.

- Establish an organizational-level, effective framework for managing compliance risks.

- Financial Leadership: o Work together to guarantee sustainable growth and prudent financial management.

- Team Development: o Promote professional growth and top talent attraction by cultivating a happy and welcoming work environment.