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