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Skillventory
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Compliance Advisory - TPP/FM - SM /AVP

Compliance Advisory - TPP/FM - SM /AVP

Skillventory

5 - 10 years

3 - 6 Lacs

Mumbai Maharashtra India

Posted:1 day ago| Platform: Foundit logo

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Skills Required

Treasury Fx Derivatives Fixed Income Sops TPP Fm

Work Mode

On-site

Job Type

Full Time

Job Description

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 transactions, market-linked products, and derivative contracts from a compliance perspective.
Monitor market conduct risks and advise on prevention of
insider trading, front running, price manipulation
, etc.

Regulatory Compliance & Interpretation:

Stay updated with evolving regulatory frameworks impacting TPP and FM.
Interpret regulatory changes and advise business units on implementation and impact.
Participate in regulatory inspections and internal audits related to TPP and FM products.

Controls & Governance:

Strengthen compliance risk controls and monitoring mechanisms across relevant product lines.
Develop and implement policies, procedures, and SOPs for advisory and control functions.
Conduct periodic training and awareness sessions for frontline staff and product teams.

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