AVP - Compliance - Wealth Management Business - CA/CS - BFSI

We are an India based full service HR services company. We provide executive search services in all its elements such as retained as well as contingency based search services, Search advisory services, Diversity Searches, Recruitment Process Outsourcing, testing and selection etc. The other vertical is in HR services. Our business is a fascinating combination of high quality work processes and people sensitivity.

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The details of the position are as under:

Designation: AVP - Compliance Wealth Management

Location: Mumbai - Prabhadevi

Qualification: CA/CS

Experience :5-6 years work experience in handling Compliance of Wealth Management Business of a broking house/Bank.

Should have knowledge of

- Compliance related to various Investment products;

- Handled compliance of Portfolio Management services

- Handled Alternate Investment Fund formation and compliances

Job Profile The Job profile will include:

1.Assisting business in structuring the investment products from compliance perspective and ensuring that products are created and marketed well within the regulatory requirement;

2.Handling the day to day queries of the Wealth Management Department;

3.Monitoring the activities of the Wealth RM by conducting periodical reviews of transactions of the Wealth Clients including e-mail reviews & listening to voice recordings;

4. Preparing the Internal policies and procedures for various wealth businesses to make sure that franchisee interest is protected.

5.Responsible for day to day compliances of PMS & AIF

6.Coordinating for Internal Audits and regulatory inspections