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16/02 Khanika Anand
HR at Trust Financial Consultancy Pvt Ltd

Views:360 Applications:72 Rec. Actions:Recruiter Actions:69

Trust Asset Management - Vice President - Compliance (10-12 yrs) Premium

Mumbai Job Code: 892795

Talent Profile - Compliance

Organization : TrustPlutus Wealth (India) Pvt. Ltd.

Location : Mumbai

Position Title : Vice President

Function : Compliance

Reports to : CEO & MD

Reportees : None

Qualifications : Qualified as Company Secretary with LLB or CA degree preferred

Work Experience (highlight) : Work experience of 10-12 years. Must have exposure & experience in managing compliance aspects and understanding & awareness about wealth management business in financial service sector.

Core Purpose of the Role :

- Manage Compliance aspects of Investment Advisory / Distribution Business

- 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 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

- Review of surveillance alerts and action on the same

Skills :

- Expertise in liaison work with various exchanges (SEBI)

- Knowledge in company law

- Excellent communication

- Solution Orientation

- Positive Attitude

- Decision Making ability

Women-friendly workplace:

Maternity and Paternity Benefits

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