We seek a Compliance Manager with a well-rounded experience in compliance and regulatory aspects having worked across wealth companies/Broking houses/Fintech for a leading a leading player in financial services, venturing into wealth management with a focus on innovative and customer-centric tech-driven financial solutions.
Join a pioneering team in wealth management, offering opportunities for career growth, learning advanced financial strategies, and being part of a dynamic, forward-thinking environment.
Requirements:
CA/CS qualified with advanced certifications in financial regulation and compliance preferred.
5-6 years in AMC/broking compliance, well-versed in SEBI and AMFI regulations.
Minimum 4-5 years of progressive work experience in financial compliance.
Familiarity with financial product distribution and wealth management practices.
Ability to handle high-pressure situations and make critical decisions.
Proven experience in similar roles across Broking houses, National distributors, or Mutual Fund channel partners.
Proficient in compliance software and tools and MS Office
Detail-oriented with a strong focus on accuracy.
Excellent leadership and team management skills.
Exceptional communication and interpersonal skills.
Responsibilities:
Developing and implementing compliance policies and procedures.
Interpret regulatory requirements and provide effective solutions.
Oversee compliance within the wealth product distribution setup.
Ensure adherence to all legal and regulatory requirements.
Conduct regular compliance audits and risk assessments.
Liaise with regulatory bodies and represent the company during regulatory reviews and audits.
Develop training programs for staff on compliance-related matters.
