Job Summary

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 prospects 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