Product and Compliance Manager

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 new 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
  • Bachelor's degree in finance, law, business administration, or a related field. A Master's degree or relevant certifications (e.g., CFA, CPA) is preferred
• Experience
  • 5+ years of experience in product management, compliance, financial planning in financial services, ideally within wealth management or investment management
• Knowledge
  • Strong understanding of financial products, investment vehicles, and regulatory frameworks

Skills

• Compliance management tools
• Risk assessment software
• Microsoft Office Suite
• Analytical skills
• Organizational skills
• Problem-solving skills
• Communication skills
• Interpersonal skills

Key Competencies

• Attention to Detail
  • Precision in assessing compliance requirements and integrate regulatory-compliant products
• Strategic Thinking
  • Ability to foresee regulatory trends and adapt product strategies accordingly
• Adaptability
  • Comfort with shifting regulatory environments and new compliance requirements
• Collaborative Mindset
  • Works effectively with cross-functional teams to align product and compliance objectives

Job Details

• Job Type: Full-time

Disclaimer: This job posting has been aggregated from external source. Role details, content, and availability are subject to change. Applicants are advised to confirm the latest information directly on the company website before applying.