Compliance Officer

1 day ago

Mumbai, India Weekday AI Full time

This role is for one of the Weekday's clients Salary range: Rs - Rs (ie INR 12-20 LPA)Min Experience: 5 years Location: Mumbai JobType: full-time We are seeking an experienced professional to manage and oversee compliance activities under SEBI AIF and PMS Regulations . The ideal candidate will be responsible for ensuring end-to-end regulatory adherence, handling SEBI interactions, and maintaining seamless coordination across stakeholders to ensure smooth compliance operations. Requirements Key Responsibilities Manage SEBI registration and scheme launch applications under AIF and PMS regulations, and resolve queries raised by SEBI. Handle complete compliance management under SEBI AIF Regulations, including quarterly, half-yearly, and annual filings with SEBI, Trustees, and Investors. Collaborate with stakeholders such as Trustees, Auditors, Investors, RTAs, Custodians , and others to ensure timely compliance and reporting. File applications and obtain registrations for LEI, CVLKRA, CAM KRA, FIU-India , and other related schemes. Oversee investor onboarding and channel partner/distributor registration processes. Implement changes as per regulatory updates in coordination with internal departments. Manage full compliance for Portfolio Management Services (PMS) operations. Support internal and external audits and facilitate regulatory inspections for AIF and PMS. Conduct and document Investment Committee Meetings as required. Draft, update, and implement internal policies and operational frameworks in line with AIF and PMS guidelines. Coordinate with the Legal team for vetting and reviewing legal documents. Handle compliance matters related to change in registered office and other statutory updates. Ensure regulatory compliance across all AIF schemes and PMS activities. Advise business leaders on compliance implications of transactions, focusing on SEBI and other regulatory requirements, including KYC, trades, settlements, resolutions, and reporting . Draft and maintain compliance manuals and business process policies covering multiple regulatory aspects. Facilitate regulatory audits and ensure adherence to all financial and legal obligations. Oversee compliance in the development and use of specialized financial structures , and coordinate with external advisors, law firms, and company secretarial firms. Independently conduct Board, Shareholder, and Committee meetings , including drafting of notices, agendas, and minutes . Manage company incorporation processes and drafting of Articles and Memorandum of Association . Skills: AIF & PMS Regulations · SEBI Compliance · Regulatory Filings · Legal Liaison · Secretarial Compliance · Audit Coordination · Policy Drafting · Investor Onboarding

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