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Assistant Vice President - Compliance - Private wealth
Peoplenomic Consulting Pvt LtdMumbai, India7 days ago
Job descriptionAdvise management on the company's compliance with laws and regulations through detailed reports. Create and manage effective action plans in response to audit discoveries and compliance violations. Regularly audit company procedures, practices, and documents to identify possible weaknesses or risks. Assess company operations to determine compliance risk. Develop and review company policies. Ensure all employees are educated in the latest regulations and processes. Resolve employee concerns about legal compliance. Ensuring the Compliance of AML & Employee trading policy & Code of conduct for Employees Assist in monitoring of Investment Risk Framework and highlight the deviations.
The role requires regulations / compliance around :
- IA and Distribution
- PMS / AIF
- Global fund including distribution.
- NBFC - with RBI
- To prosper in this role, you should be fluent in risk management and our industry's principles.
- Implement and manage an effective compliance and investment risk management program.
- Good knowledge of regulatory requirements and procedures. Preference will be given to those having experience in handling compliances of Portfolio Manager, AIF, RIA, Distribution model of Investment products.
- Understanding of business, including interpretation of various regulations is a must.
- CS / CA and / or bachelor's degree in law, finance, business management, or a related field.
- Work Experience At least 5-6 years of recent experience in SEBI regulated orgs.
Qualification :
ref : iimjobs.com)
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Assistant Vice President • Mumbai, India
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