Compliance Role - Investment Banking/Wealth Management/Mutual Funds

Investment Banking - Compliance_Wealth Management_Mutual Funds

- To lead the compliance division of Investment Banking and provide extensive expertise and advice to all functions.

- Reviewing of Investment Banking documents such as NDAs, Engagement letters, issues agreements, etc. as may be requested by the Business. The same shall be reviewed in accordance with respective regulations, including ICDR, and other SEBI Regulations.

- To ensure statutory compliance with SEBI and update business groups and management on regulatory amendments/notifications/updates etc and the implications of the same.

- Engaging with the capital markets regulators/SEBI during regulatory inspections or as may be required.

- Establishment of various Compliance policies, including Insider trading/SDD and procedures thereto and oversee its implementation

- Represents the firm with clients, external agencies and regulatory bodies and ensure Compliance of the regulatory Framework.

- To identify and assess the compliance risks associated with business activities and advise the deal execution team and management on timely basis.

- Reviewing of advisory business documents such as NDAs, Engagement letters, etc. as may be requested by the Business.

- Engaging with the Compliance and Risk officials at subsidiaries.

- Periodical Compliance monitoring/reviewing of EFSL on Compliance Risk in line with the regulatory requirements.

- Periodical Compliance Risk Sensitization and training to employees on Compliance aspects.

- To identify potential areas of compliance vulnerability and risk, develop and implement corrective action plans for resolution of problematic issues, and provide general guidance on how to avoid or deal with similar situations in the future.

- To support the compliance division of the Investment Banking and provide extensive expertise and advice to all functions.