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04/09 HR
HR at Spark Private Wealth

Views:358 Applications:52 Rec. Actions:Recruiter Actions:27

Spark Capital - Compliance Specialist - Wealth Management (8-25 yrs)

Mumbai Job Code: 1309535

- Assist the Group Head in providing regulatory advice and support to various licenses under Spark's business verticals with a primary focus on wealth management.

- Providing advice for all regulatory and other internal compliances related to Broking, PMS, AIF, NBFC Regulations, etc

- Provide Legal & Compliance Support to internal teams across all businesses of the Spark Group in handling internal and external matters, disputes etc. with a specific expertise in Wealth Management.

- Providing strategic advice on new business projects & identifying potential compliance, legal and regulatory risks

- Reviewing a wide range of contracts, agreements, letters and documents and provide inputs on various commercial and financial terms, risks and obligations before execution of the documentation.

- Interpreting, monitoring and advising on circulars, addendums, key regulatory, legal and market developments with potential impacts on Wealth Management businesses in particular.

- Analyse and propose solutions to complex business problems.

- Maintaining relationships and liaison with key partners, law firms, regulators, auditors, etc.

- Keeping up with current changes on all relevant areas of laws and contributing to the enhancement of the knowledge base of the company's legal and compliance function.

- Conducting relevant trainings for employees across the Group.


- Company Secretary or a Chartered Accountant with a Bachelor's or Master's degree in Law.

- Excellent drafting ability.

- Relevant legal experience in the financial industry, preferably in wealth management.

- Working knowledge of and familiarity with the financial services industry and the legal, regulatory framework applicable to it.

This job opening was posted long time back. It may not be active. Nor was it removed by the recruiter. Please use your discretion.

Women-friendly workplace:

Maternity and Paternity Benefits

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