Manager/Senior Manager/AVP/VP - Compliance - Wealth Management Firm (5-15 yrs)
Preferred candidates from Wealth Management companies only
Qualifications:
Qualified as Company Secretary with LLB or CA degree preferred
Work Experience (highlight) :
- Work experience of 5-12 years. Must have exposure & experience in managing compliance aspects and understanding & awareness about wealth management business in financial service sector.
Core Purpose of the Role :
- Manage Compliance aspects of Investment Advisory / Distribution Business
- Ensure all regulatory submissions / filing are done in time and record is maintained
- All relevant policies are regularly updated and ensure that the Entities are compliant with all statutory approvals
- Ensure new circulars released by regulators i.e. SEBI/AMFI are reviewed, discussed and implemented (Guide various teams, make plan and ensure implementation)
- Ensure that all Advisory & Distribution transactions are executed as per regulatory guidelines and within timelines
- Manage relationships with regulators and assist with the Company's response to regulatory inspection / observations
- Ensure timely completion of Internal/External Audits
- 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 inforce
- Managing customer (internal) queries in a timely manner to resolve grievances
- 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
- Review of surveillance alerts and action on the same
Skills:
- Expertise in liaison work with various exchanges (SEBI)
- Knowledge in company law
- Excellent communication
- Solution Orientation
- Positive Attitude
- Decision Making ability
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