Head - Compliance - Wealth Management (10-15 yrs)

2 weeks ago


Mumbai, Maharashtra, India iimjobs Full time

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


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