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16/04 Khanika Anand
HR at Trust Financial Consultancy Pvt Ltd

Views:803 Applications:160 Rec. Actions:Recruiter Actions:159

Trust Asset Management - Vice President - Compliance (6-8 yrs)

Mumbai Job Code: 914856

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 6-8 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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