Senior Manager/AVP - Compliance - BFS

1. Establish the framework of conducting distribution business under POA or Custodian model and Liaise with the concerned third parties & legal consultants to set up the offering for the business. Manage on-going compliance and set up ops processes in line with SEBI guidelines and industry norms for this offering

2. SEBI compliance for PMS related activities

3. Design and frame internal compliance policies. Review SEBI & other regulatory circulars, notifications or policies and align organisation's activities in line with requirements of the regulators

4. Conduct compliance audit on internal employees and train the sales and ops team to adhere to internal compliance policies

5. Review communications sent to clients ongoing basis.

6. Review Internal Audit reports to ensure that none of the findings are repeated and work on addressing concerns.

7. Respond to - queries raised by Various stake holders. In cases where an in-depth discussion is required, raise it with the relevant people and get it addressed.