Vice President Compliance Advisory
4 weeks ago
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Job Description –
This position requires at least about 10-12 years of experience in asset management compliances and a very good understanding of the regulatory framework applicable to asset management businesses in India (including SEBI (Mutual Funds) Regulations, SEBI (Portfolio Managers) Regulations and other relevant applicable regulations. The following are certain high level job description of this profile: -
(a)Identification of compliance risks and potential impacts on the business and provide guidance to business on compliance advisory requirements, including supporting the AMIN Head – Compliance Advisory (LCO) to implement policies to meet HSBC requirements and local legislations;
(b)Implement the HSBC’s compliance strategy, policy and standards, controls, systems and policies are being implemented in country and for Asset Management business;
(c)Work with the various compliance team in country and regionally to maintain relevant contacts in Regional Businesses and Regional Functions to ensure consistent and effective application, implementation and controls to evidence related compliance standards, policies and procedures;
(d)Liaise with internal and external stakeholders in relation to compliance risk in country (including regulators);
(e)Provide support on the oversight and management, of all aspects of compliance risk in the country and for AMG;
(f)Stay at the forefront of key regulatory changes to ensure proactive communication with business and implement appropriate group policy and framework to manage the changes;
(g)Provide advice to business in country on risk associated with prospective business, products and service and design mitigation controls and strategies as appropriate;
(h)Interaction with and representing compliance with senior business leadership
(i)Involved in and responsible for minimizing risk with potential compliance liability.
(j)Timely and efficient submission of various compliance reporting to the Group and regulatory submissions. This also includes providing timely and relevant risk information to senior management and governance forums;
(k)Assisting LCO in discharging his/her regulatory obligations by identifying and containing compliance risks by monitoring, escalation, reporting, etc. and fostering a compliance culture within the entity.
RequirementsMinimum Graduation or as required for the role, whichever is higher
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