AVP - Risk & Compliance - Wealth Management Services

AVP - Risk and Compliance : Wealth Management Services( Mumbai) for a very large and renowned financial services company headquartered in Mumbai. Compliance experts with minimum 10 years of experience in wealth management and PMS services may respond urgently to us.

Ideal Candidate:

- The ideal candidate will be professional, highly analytical, and possess excellent written and verbal communication skills.

- Compliance Officer to ensure that our business processes and transactions follow all relevant regulatory and internal guidelines. To prosper in this role, you should be fluent in risk management and industry's principles.

Key Responsibilities:

Your duties will include reviewing employee work, developing company policies, and responding to policy violations

- Implement and manage an effective compliance and investment risk management program

- Develop and review company policies

- Advise management on the company's compliance with laws and regulations through detailed reports.

- Create and manage effective action plans in response to audit discoveries and compliance violations.

- Regularly audit company procedures, practices, and documents to identify possible weaknesses or risks.

- Assess company operations to determine compliance risk.

- Ensure all employees are educated on the latest regulations and processes.

- Resolve employee concerns about legal compliance.

- Ensuring the Compliance of AML & Employee trading policy & Code of conduct for Employees

- Assist in monitoring of Investment Risk Framework and highlight the deviations