Head - Compliance - Wealth Management

About this role:

The Head of Compliance will be required to oversee the compliance framework and ensure all applicable regulatory requirements are met.

Job Description:

- Develop and implement compliance policies for all applicable laws and regulations relating to the business.

- Oversee Compliance operations.

- All matters related to SEBI and RBI

- Handling of work related to code of conduct framed under SEBI (Prohibition of Insider Trading) regulations.

- Handle regulatory inspections, investigation, and audits, etc.

- Highlight emerging compliance risk to Head - Compliance, Legal & Secretarial.

- Vetting regulatory communications from a compliance perspective.

- Providing training to employees on critical compliance policies.

- Monitor compliance performance.

- Ability to develop and enhance working relationships with key regulatory authorities - SEBI, RBI, etc.

- Provide Compliance advisory to stakeholders to highlight and develop actions to mitigate risk.

- Keep updated with Compliance regulations and proactive work with business teams to understand impact and implement changes