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Compliance Manager

2 months ago

Mumbai, India Virtuous Advisors & Resources Private Ltd (Virtuous Resources) Full time

Job Description:

● Vetting of ECM Transaction documents relating to Issues

● Vetting of EL and NDA for all departments

● Collating and sending Monthly regulatory updates.

● Review and submission of Quarterly Compliance Certificate of Subsidiaries

● Preparation of SEBI Half-yearly Report

● Conducting Annual Compliance Test

● Review and Updating of Policies of the company and subsidiaries

● Regularly updating Product Groups of new regulatory developments and the

implications of the same.

● Training on Compliance related matters


Key Requirements:


● Education: CS, LLB

● 3+ yrs relevant experience

● Establishment of various Compliance policies, procedures and oversee its

implementation and updation

● To identify and assess the compliance risks associated with business

activities and advise the management on a timely basis.

● Reviewing of Investment Banking documents such as NDAs, offer letters,

Issues Agreements and other agreements/documents relating public issues,

rights issues etc. as may be requested by the Business.

● Reviewing of Infra advisory business documents such as NDAs, offer letters,

Agreements, RFPs etc. as may be requested by the Business.

● Engaging with the Compliance and Risk officials at subsidiaries.

● Periodical Compliance monitoring/reviewing of Subsidiaries on Compliance

Risk in line with the regulatory requirements and testing its implementation.

● Assist in establishment of Systems and Controls engaging with the capital

markets regulators as may be necessary.