The Product and Compliance Manager in a wealth management company oversees the development, management, and compliance of financial products and services. This role ensures that products meet regulatory standards, align with client needs, and support the company's strategic goals. The individual works closely with product development, operations, and risk teams to maintain regulatory adherence and enhance product offerings.
Responsibilities
- Product Tie-Ups and Strategy
- Drive the tie-ups and integration of current financial products, ensuring they align with market trends and client needs
- Collaborate with product, marketing, and sales teams to develop product strategies and go-to-market plans
- Conduct regular market research and competitor analysis to identify opportunities for product innovation
- Regulatory Compliance
- Monitor relevant regulations and policies, ensuring product offerings comply with all legal and regulatory requirements (e.g., SEBI, AMFI etc)
- Develop and implement compliance frameworks and guidelines for product development and lifecycle management
- Conduct compliance risk assessments and audits on products and processes, ensuring adherence to internal and external guidelines
- Financial Planning
- Plan and present financial plans for individuals and corporates based on risk profile and financial goals
- Policy Implementation and Training
- Develop and maintain policies related to product compliance and operations
- Provide training and guidance to cross-functional teams on regulatory requirements and compliance best practices
- Serve as a compliance point of contact for all product-related queries and training
- Documentation and Reporting
- Maintain accurate and comprehensive records for all product development and compliance-related processes
- Prepare detailed reports for audits, regulatory submissions, and senior management
- Ensure all documentation meets internal and regulatory standards
Qualifications
- Education
- Bac
📌 Product and Compliance Manager (Mumbai)
🏢 Abchlor
📍 Mumbai
Reply to this offer
Impress this employer describing Your skills and abilities, fill out the form below and leave Your personal touch in the presentation letter.