Compliance Advisory
4 weeks ago
Key Responsibilities:
Advisory Support TPP:
- Provide proactive compliance advisory onThird Party Product distribution, including mutual funds, insurance, PMS, AIFs, bonds, and structured products.
- Ensure compliance withSEBI, IRDAI, RBIregulations and internal policies while launching or distributing TPPs.
- Review product notes, marketing materials, and distribution agreements to ensure regulatory compliance.
- Advise stakeholders onsuitability, mis-selling risks, disclosure norms, and client communication for TPPs.
Advisory Support Financial Markets:
- Act as a key compliance advisor toTreasury, FX, Derivatives, Fixed Income, and Debt Capital Marketsteams.
- Ensure adherence to regulations includingRBI Master Directions, SEBI Regulations, FEMA, etc.
- Review structured transactions, market-linked products, and derivative contracts from a compliance perspective.
- Monitor market conduct risks and advise on prevention ofinsider trading, front running, price manipulation, etc.
Regulatory Compliance & Interpretation:
- Stay updated with evolving regulatory frameworks impacting TPP and FM.
- Interpret regulatory changes and advise business units on implementation and impact.
- Participate in regulatory inspections and internal audits related to TPP and FM products.
Controls & Governance:
- Strengthen compliance risk controls and monitoring mechanisms across relevant product lines.
- Develop and implement policies, procedures, and SOPs for advisory and control functions.
- Conduct periodic training and awareness sessions for frontline staff and product teams.
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