Senior Manager/Assistant Vice President - Wealth Compliance

Job Description: Wealth Compliance

Job Responsibilities:

- Manage wealth compliance operations to ensure adherence to regulatory requirements.

- Review and analyze wealth management transactions for compliance risks.

- Develop and implement compliance policies and procedures for wealth management activities.

- Conduct regular compliance audits and assessments to identify and mitigate risks.

- Collaborate with internal teams to provide compliance guidance and training.

- Stay up-to-date with regulatory changes and industry best practices in wealth management compliance.

- Prepare and submit compliance reports to regulatory authorities.

Essential Qualifications:

- CS/CA/MBA qualified with extension experience in wealth compliance.

- Strong knowledge of financial regulations and compliance requirements in the wealth management sector.

- Excellent analytical and problem-solving skills.

- Attention to detail and ability to handle confidential information.

- Effective communication and interpersonal skills.