Compliance Manager

2 weeks ago

Mumbai, Maharashtra, India Emkay Global Financial Services Ltd Full time

Job Responsibilities :-


• Monitoring of ongoing compliance and reporting as required under SEBI AIF and PMS regulation – Preparation and submission of required monthly, quarterly, annual regulatory/ CTR and other compliance filings, reports, & disclosures to SEBI and other relevant authorities like trustees, custodians, RBI, etc.


• Liasoning and co-ordinating with Regulator for PMS, AIF compliance and queries


• Monitoring ongoing and event-based submissions with RBI and Income Tax (FATCA/CRS, FIRMS, etc)


• Review, Preparation/Up-dation of Private Placement Memorandum and amendments including to Trust Deed, KYC documents/Contribution agreements/ distribution agreements and intimation to regulatory Authorities wherever required.


• Co-ordinate with various service providers/vendors/Forums for various compliance related matters pertaining to AIF and PMS.


• Liasoning with Internal auditors and statutory auditors and effectively handling SEBI inspections; Interact with auditors and other external parties for various regulatory requirements/ other routine regulatory filings/ compliances.


• Co-ordinating with counsels for legal support, opinions and clarifications


• Monitor changes in SEBI regulations, directives, and circulars to ensure that the organisation's practices and policies remain up-to-date and compliant.


• Liasoning with product and sales team on products and filings Preparation / Up-dation of Private Placement Memorandum and amendments including Trust Deed Review of Application Form, literature, factsheets, communiques and communications Regulatory reporting - Filings monthly / Quarterly report reports, annual CTR.


• Liasoning with product and sales team on products and filings with regulator.


• Conducting and arranging Committee meetings - valuation committee, investment Management committee; also to maintain minutes of all committee meetings.


• Develop, implement, and manage organisational compliance policies and procedures in line with applicable laws, regulations, and industry best practices.


• Review of marketing material and other marketing/sales documents from a regulatory perspective; inclusive of other advertisement literature, factsheets and communications.


• Drafting and vetting various agreements, legal documents, policies, and standard operating procedures.


• Collaborate with internal departments to provide guidance on compliance-related matters.


• Maintain comprehensive and accurate records of compliance activities and documentation, ensuring easy access for internal and external review.


• Co-Jointly work with Group compliance team for compliances relevant to other verticals

Key Skills :-


• Interpersonal / Communication Skills


• Networking and Market Intelligence


• Strong Client Relationship Skills


• Result Orientation


• Collaborative Approach

Functional Competencies:-


• Excellent in MS Office (Word, PowerPoint & Excel)


• Excellent communication skills in English (oral and written)

Qualification:-


• Graduate/Post Graduate with Degree in Law is preferred.


• NISM Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination will be an added advantage.

Experience:-


• Min. 3 -5 years of experience handling the compliance, legal, functions in allied industries (AIF / PMS) having a working knowledge of SEBI AIF & PMS Regulations in particular.

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