Assistant Vice President - Compliance - Wealth Management Firm

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