Compliance Officer Wealth
Compliance Officer Wealth
Posted on :
28-05-2025
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1 Vacancy
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Job Description
We are looking for a Compliance Officer for a leading mid market investment bank with strong practices around M&A PE Capital Markets Institutional Equities Wealth Management Insurance Broking and Portfolio Management Services.
Responsibilities
- Should be able to independently ensure Fund management compliances.
- Should keep abreast with the latest regulatory changes/ requirements related to SEZ Act FME IFSCA guidelines SEBI PMS and AIF regulations.
- Timely preparation & submission of reports with regulators & BOD.
- Maintenance of all required reports and data as per regulatory requirements.
- Drafting and vetting of agreements/ Policies & Procedures.
- Developing training material & conducting training sessions.
- Supporting new technology initiatives & participation in new project initiatives.
- Any other tasks/responsibilities as may be assigned from time to time.
Qualifications
- Someone who is detail oriented motivated individual who should be able to multitask in a fast-paced environment.
- Someone who is able to communicate well at all levels and directly engage with Board of Directors and Managing Director on all compliance related aspects.
- Should have good drafting and communication skills.
report preparation,regulatory knowledge,wealth portfolio management,compliance management,pms,communication,training development,aif,sebi regulations,compliance,drafting
Employment Type
Full Time
Key Skills
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