Core Purpose of the Role : - Manage Compliance aspects of Investment Advisory, Distribution & ND PMS. - 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 & ND PMS 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 - To evaluate & oversee the development / use of specialized financial structures from a compliance perspective as and when sought by business teams, and also deal with external legal advisors for the same. As and when required, to liaise with & work closely with Law firms, Company Secretarial firms, and any such external / third parties that the firm may engage with from time to time - Review of surveillance alerts and action on the same

Mumbai

Senior Manager - Compliance - PMS/Wealth Management 

Job Description for Senior Manager - Compliance - PMS/Wealth Management  in Xperia Executive Search LLP in  Mumbai for (4-10) years of experience. Apply Now!