Assistant Manager Compliance

1 week ago


Mumbai, India Unique Occupational Services Pvt Ltd. Full time

Designation : Assistant Manager/Manager - Compliance


Experience : 3 - 4 yrs


Qualifications and Education Requirements : Preferred a professional with Company Secretary and LLB Degree


Preferred Skills: Experience in managing AIF related compliance


Role and Responsibilities :

  • Play key role in ensuring compliance under regulations issued by SEBI for Alternative Investment Funds (AIF) and by RBI for non-banking financial companies
  • Identify compliances applicable to the Company, identify implications and implement compliance requirements
  • Keep abreast with amendments in laws, regulations, directions and guidelines applicable to the Company and ensure steps are taken as and when any new implications arise
  • Sensitise all departments for compliances to be ensured in their respective areas
  • Assist in creating organisation-wide policies and create compliance framework for the Company
  • Ensure implementation of internal policies and procedures and creating awareness of the same
  • Drive the compliance monitoring program for the group
  • Ensuring periodic and even based filings with RBI and SEBI
  • Collaborate with the other functions / departments to ensure timely and accurate submission of returns and information to regulators
  • Assist in automating reporting and controls
  • Assist in dealing with queries raised by RBI, SEBI and or any other statutory bodies
  • Maintaining and updating compliance related MIS(s)
  • Assist all departments in preparing and providing Compliance reports on a regular basis



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