Executive Search Consultant at TruLux
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VP - Regulatory Compliance - Broking & Wealth (10-15 yrs)
Opening - Head of Compliance (Broking, DP, IA, RA, PMS, NBFC, FPD, etc)
Designation Vice President
Company - One of the leading financial services firm
Location - Mumbai
Role & Responsibilities:
1) Establishment and maintenance of processes and controls within the business groups so that business activities are in the compliance with applicable laws and any breaches of such laws, rules, regulations and internal policies are detected
2) Provide a proactive and expert compliance advisory service
3) Promptly alert senior management to significant compliance issues
4) Keep abreast of regulatory developments or other matters affecting the business activities, systems and controls and Communicate changes to policies, procedures and regulatory requirements and oversee implementation thereof.
5) Compliance clearance for new product / new business line / new licenses / new funds / schemes including handling issues related to actual or potential conflict of interest
6) Clearance of responses to regulatory observations/investigations, etc.