Head - Compliance - Wealth & Asset Management Firm

Urgent Requirement for leading Wealth & Asset Management company

Position: Head of Compliance

Location: Bangalore (WFO)

Experience: 10+ Years

Qualification : CS/MBA/LLB/LLM

Timings: 9 am - 6 pm

Monday to Friday

Role Description

This is a full-time on-site role for a Head of Compliance in an Asset Management company located in Bengaluru. As the Head of Compliance, you will be responsible for managing and ensuring regulatory compliance, staying updated with regulations, and providing legal compliance guidance. Your day-to-day tasks will involve overseeing compliance processes, conducting internal audits, implementing compliance policies, and analyzing compliance data.

Qualifications

- Expertise in Compliance Management, Regulatory Compliance, and Legal Compliance

- Drafting, vetting and negotiating various legal Agreements.

- In-depth knowledge of relevant regulations

- Strong analytical skills for identifying compliance issues and proposing solutions

- Proven track record in navigating complex regulatory environments, adept at managing compliance requirements for Broker Dealer Compliance, AML, PMS, RIA, and AIF.

- Extensive engagement with financial regulatory bodies such as SEBI, NSE, and BSE, demonstrating strong regulatory acumen.

- Deep expertise in KYC procedures and meticulous client onboarding, specializing in due diligence for a wide range of clients including FII's/FPI's, FCB's, MF's, DFI's, and retail clients.

- Expertise in Investigation & Reviewing of AML compliances

Relevant skills and qualifications that would be beneficial:

- Experience in the asset management industry

- Excellent communication and interpersonal skills

- Attention to detail and ability to work independently

- Professional certifications related to compliance

Interested candidates may send in their resume mentioning current CTC, expected CTC and notice period.