Specialist - Compliance & Legal (5-10 yrs)

Roles and responsibilities :

- Handling regulatory compliances such as regulatory reports submission, audits, regulatory inspections and regulatory queries and investigations.

- Keeping track of regulatory developments such as regulations, circulars and any other regulatory notifications.

Creating awareness of these developments and liaising with stakeholders for its timely implementation.

- Addressing queries from relevant businesses on regulatory and internal compliance provisions.

- Approval of marketing materials, product notes, research report templates, periodic and adhoc communications to clients.

- Approve new products and new business proposals.

- Monitoring employee compliances with regulatory obligations such as employee trading, NISM/EUIN certification.

- Keep track and update internal policies.

- Monitor adherence by stakeholders.

- Conduct training to create awareness on regulatory provisions and developments and strengthen the compliance culture.

- Carry out monitoring and testing to check adherence of regulatory and internal requirements and facilitate remediation of findings.

Location: Mumbai.

Occasional travel to head office or branch offices.

Educational Qualification: CS / CA / MBA.

Soft Skills:

- Good understanding of relevant business activities.

- Good communication skills and ability to engage with stakeholders at different levels.

- Work with the larger Group Compliance team and proactively step-in to ensure that the team meets its targets.

- Multi task, quick learning, ability to analyze situation and provide effective guidance, ability to work independently