Our client is the flagship company of a top Wealth Management Group. They primarily focus on discretionary listed equity portfolio management.
Designation: Assistant Vice President
Reporting to: Group Compliance Officer
Responsibilities:
- Should be fully aware of the SEBI - PMS, AIF and Investment Advisory Regulations and work closely with Group Compliance Officers w.r.t to day-to-day deliverables.
- Ensure timely and effective communication to all the relevant stakeholders within the organization about the implications of the changes in the regulation and /or industry trend impacting our line of business.
- Advise management on the company's compliance with laws and regulations through regular Board and Other Subcommittee presentations on regular basis.
- Draft and implement firm - level policies and processes.
- Create and manage effective action plans in response to audit findings.
- Regularly audit company procedures, practices, and documents to identify possible weaknesses or regulatory risks inherent to the process.
- Assess company operations to determine associated risk which may have impact on the client investments and settlement cycle.
- Ensure deep engagement with all the Functional heads on ongoing basis and evaluate larger risks associated to their function
- Establish organization wide Compliance conscious culture through reinforcing compliance policies and imparting training at regular intervals.
Requirements: About 10 years' proven experience in an AMC Compliance & / or Risk Management function
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