Assistant Vice President – Compliance – Financial Services Firm (8-15 yrs)

Urgent Position of AVP Compliance with a Financial Services Company in Mumbai

Key Responsibilities :

– Liasoning with Regulators and actively engaged in participation on various regulatory matters with the Industry.

– Handling multiple tasks on the compliance side including handling regulatory inspections.

– Regulatory interface for the business units, acting as focal point of contact for regulators. Liaison with teams across the Company for providing information to regulators on time.

– Drafting applications and seeking regulatory approvals.

– Drafting, updating of regulatory and business policies/ processes.

– Advising on the Strategic deals/ transactions and advising on new product launches

– Assisting in coordination with legal counsels, reviewing documents, closing out transaction documents.

– Monitoring regulatory updates and disseminating the same to all concerned stakeholders and discussions with stakeholders.

– Conducting compliance reviews, alert senior management to significant compliance issues along with recommendations.

– Co-ordination during the implementation of the Compliance monitoring system.