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HR

HR at Spark Private Wealth

Last Login: 03 May 2024

Job Views:  
360
Applications:  52
Recruiter Actions:  27

Posted in

Legal

Job Code

1309535

Spark Capital - Compliance Specialist - Wealth Management

8 - 25 Years.Mumbai
Posted 8 months ago
Posted 8 months ago

- 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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Posted By

user_img

HR

HR at Spark Private Wealth

Last Login: 03 May 2024

Job Views:  
360
Applications:  52
Recruiter Actions:  27

Posted in

Legal

Job Code

1309535

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