Compliance Role - Mutual Fund (8-10 yrs)

Job Title: Compliance

We seek a highly motivated individual to join the Legal Compliance & Secretarial team within the Joint Venture of Company's business covering Wealth Management (WMC) business in India.

Key responsibilities:

include managing day-to-day Compliance and Anti Money Laundering related for WMC business. This role will be assisting the WMC - Compliance officer in discharging the day to day duties, the candidate should have reasonable compliance and ethics experience of about 8-12 years in wealth management compliance under PMS / RIA/ Stock Broking license.

i. Running the AML program in line with PMLA regulations.

ii. Reviewing marketing material in line with the applicable regulations.

iii. Seek approvals/ liasoning with regulatory authorities as and when required.

iv. Review, analyse SEBI notifications, orders circulars etc.

v. Build Compliance processes and policies from Wealth Management perspective.

vi. Ensure submission of regulatory returns.

vii. Liaising with internal audit / Regulators - on compliance reviews and inspections.

viii. Conduct Compliance training programs covering PIT, conduct, Client complaint etc.

ix. Formulate a compliance database.

Key skills and experiences:

Eye for Detail

Ability to quickly learn

At Least 8- 10 years relevant experience in securities market with complete know how of RIA licence. Good communication skills

Disclaimer:

The job description is intended to provide a general overview of the position. Duties and responsibilities may be subject to change based on business needs.The key responsibilities and Key Performance Indicators (KPIs) outlined in this job description are subject to change based on the evolving needs of the company, the role, and industry regulations. Company reserves the right to modify or amend these responsibilities and KPIs at any time to ensure the continued effectiveness of the role.