Vice President - Compliance - Wealth Management Business

Company: Wealth Management Company

Designation: VP - Compliance

Responsibilities:

- 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