Regulatory Compliance Specialist
5 days ago
We are seeking an experienced Compliance Advisor to join our team. The ideal candidate will have a strong understanding of regulatory frameworks and be able to provide proactive compliance advisory on Third Party Product distribution.
The Compliance Advisor will work closely with various teams, including Treasury, FX, Derivatives, Fixed Income, and Debt Capital Markets, to ensure adherence to regulations.
The successful candidate will have excellent communication skills and be able to interpret complex regulatory changes.
Key Responsibilities:
- Provide proactive compliance advisory on Third Party Product distribution, including mutual funds, insurance, PMS, AIFs, bonds, and structured products.
- Ensure compliance with SEBI, IRDAI, RBI regulations and internal policies while launching or distributing TPPs.
- Review product notes, marketing materials, and distribution agreements to ensure regulatory compliance.
- Advise stakeholders on suitability, mis-selling risks, disclosure norms, and client communication for TPPs.
Required Skills and Qualifications:
- Strong understanding of regulatory frameworks, including SEBI, IRDAI, RBI regulations.
- Excellent communication and interpersonal skills.
- Ability to interpret complex regulatory changes.
- Proactive approach to compliance advisory.
Benefits:
- A challenging and rewarding role in a dynamic industry.
- Opportunity to work with a talented team of professionals.
- Competitive salary and benefits package.
Others:
- Staying updated with evolving regulatory frameworks impacting TPP and FM.
- Interpreting regulatory changes and advising business units on implementation and impact.
- Participating in regulatory inspections and internal audits related to TPP and FM products.
- Strengthening compliance risk controls and monitoring mechanisms across relevant product lines.
- Developing and implementing policies, procedures, and SOPs for advisory and control functions.
- Conducting periodic training and awareness sessions for frontline staff and product teams.
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