Compliance Advisory - TPP/FM - SM /AVP

Key Responsibilities:

Advisory Support TPP:

• 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.

Advisory Support – Financial Markets:

• Act as a key compliance advisor to Treasury, FX, Derivatives, Fixed Income, and Debt Capital Markets teams.
• Ensure adherence to regulations including RBI Master Directions, SEBI Regulations, FEMA, etc.
• Review structured tr...