Edelweiss Tokio - AVP - Compliance & Legal

Managerial Responsibilities :

- Motivating and mentoring the Team Members and focusing on their skill development and training

- Setting up clear goals and expectations of Team Members.

- Constant interaction with Team Members to review their work and provide feedback.

- Conduct timely and transparent appraisals

Functional Responsibilities :

Compliance :

Regulatory Compliance :

- Ensure effective implementation of Compliance Management Framework within an organisation through timely implementation and monitoring of all regulatory requirements.

- Analyse and comment on Draft Regulations and Circulars issued by Regulators.

- Manage Regulatory Change Management by carrying out Impact Analysis of new laws and regulations and ensure their dissemination and implementation by the various functions.

- Frame Operational Processes and Policies in co-ordination with the respective functions.

- Apprise Senior Management of the status of Regulatory Compliances.

- Represent the Compliance Function in various meetings and forums.

- Monitor and assess the compliance health of the Company through periodic process reviews on a sample basis.

- Handle escalated complaints effectively

- Implement the Publication Review Process

- Build/Enhance compliance monitoring systems

- Conduct Compliance Risk Assessment activity

Product & Marketing Compliance :

- Participate in the process for designing, drafting, reviewing of Product Documentation (Policy Document) and marketing collateral.

Distribution Compliance :

- Advise the Distribution Team on all legal and regulatory requirements and the expected levels of conduct.

- Carry out Distribution Process Reviews

- Disseminate trainings to the Distribution Teams

- Carry out Branch reviews from a compliance standpoint

- Recommend imposition of sanctions if any

Compliance Advisory & Support :

- Provide advisory on queries from various functions.

- Assist in drafting/reviewing of compliance communication and process AML Compliance

- Review the AML and CFT Policy and Process document on a regular basis

- Enhance systemic controls and develop systems to meet enhanced regulatory requirements

Legal :

Contract Management :

- Drafting or review of contracts including providing advisory on the scope of services and commensurate commercials

Litigation Management :

- Draft/review Written Statements, Replies to Notices/Plaints.

- Represent the Company on various legal matters before the Ombudsman and Consumer Forums

- Liaise with panel of advocates for litigation/legal matters

Legal Advisory :

Provide interpretations/views on various legal issues

Others :

- Relationship Building

- Interact with the Regulators and compliance teams of peer companies