Compliance Advisory - TPP / FM - SM / AVP

Key Responsibilities :

Advisory Support TPP :

• Provide proactive compliance advisory on  Third Party Product distribution , including mutual funds, insurance, PMS, AIFs, bonds, and structured products.
• Ensure compliance with  SEBI, IRDAI, RBI  regulations and internal policies while launching or distributing TPPs.
• Review product notes, marketing materials, and distribution agreements to ensure regulatory compliance.
• Advise stakeholders on  suitability, mis-selling risks, disclosure norms , and client communication for TPPs.

Advisory Support – Financial Markets :

Regulatory Compliance & Interpretation :

Controls & Governance :

Skills Required

Treasury, Fx, Derivatives, Fixed Income, Sops, TPP, Fm