- 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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Wealth Relationship Manager
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Mintskill HR Solutions LLP Mumbai, IndiaJob Role: · Requirement for a Relationship Manager who shall be responsible for Acquiring and managing HNI and UHNI clients' banking and investment requirements and will help clients achieve with their financial goals through strategic portfolio analysis and suggesting them the r ...
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Wealth Relationship Manager
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Wealth Management Internship
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Head - Compliance - Wealth Management (10-15 yrs) - Mumbai, India - iimjobs
Description
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: