Responsibilities:
- Ensure end-to-end compliance with SEBI regulations applicable to Wealth Management, Investment products, and Capital Market activities.
- Monitor and implement regulatory circulars and guidelines issued by SEBI, RBI and other financial regulators relevant to the wealth platform.
- Oversee regulatory reporting and filings to ensure accurate and timely submission to regulators.
- Design, implement and update compliance policies, SOPs, and internal control frameworks aligned with regulatory requirements.
- Provide advisory support to wealth, investment and product teams to ensure regulatory compliant product structures and customer journeys.
- Manage and coordinate regulatory inspections, audits and internal compliance reviews.
- Track regulatory developments related to investment advisory, distribution, portfolio management and capital markets and drive implementation across business processes.
- Ensure adherence to KYC, AML, investor protection and grievance redressal mechanisms as per regulatory norms.
- Liaise with SEBI, RBI and other regulatory bodies for clarifications, regulatory interactions and compliance submissions.
- Monitor customer grievance handling and investor complaints, ensuring resolution within regulatory timelines.
- Support internal teams in risk mitigation, compliance monitoring and regulatory change management.
- Maintain strong governance standards while handling time-sensitive regulatory escalations and compliance issues.
Requirements:
- University degree in Law or a related field (post-graduate education with a focus on compliance and risk management is preferred).
- 8+ years of experience in a senior compliance management role in wealth industry.
- Superior knowledge of Fintech, Wealth regulations and corporate procedures for maintaining compliance.
- Proficiency in using MS Office (Word, Excel, PowerPoint, Outlook, etc.).
- Excellent project management and leadership skills.
- Strong organizational skills.
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