Compliance Manager

3 weeks ago

Gurgaon, Haryana, India Grip Invest Full time
We are looking for an experienced Company Secretarial professional with 4-6 years of experience in the relevant field. Only candidates with work experience with a SEBI regulated entity need to apply.

What You'll Do

Regulatory Compliance:

- Ensure compliance with SEBI regulations, including but not limited to broking activities, mutual fund distribution guidelines, and AIF operational requirements.
- Maintain up-to-date knowledge of all applicable regulations, circulars, and guidelines issued by SEBI, AMFI, RBI, and other regulatory bodies.
- Develop, update, and implement policies and procedures to align with regulatory requirements.

Risk Management:

- Identify, assess, and mitigate compliance risks across all business activities.
- Monitor and report breaches or potential violations of compliance policies.

Monitoring and Reporting:

- Prepare and submit reports, disclosures, and returns as required by SEBI and other regulatory bodies within stipulated timelines.
- Liaise with regulatory authorities during audits, inspections, and investigations.

Training and Awareness:

- Develop and deliver training programs for employees to promote awareness of compliance requirements and ethical practices.
- Ensure that all staff members, including senior management, understand their responsibilities concerning compliance.

Client Onboarding and KYC:

- Oversee Know Your Customer (KYC) processes for new and existing clients to ensure compliance with Anti-Money Laundering (AML) and Combating the Financing of Terrorism (CFT) regulations.
- Monitor ongoing client transactions for suspicious activities and report them to the Financial Intelligence Unit (FIU-IND) as necessary.

Record Keeping and Documentation:

- Maintain comprehensive and accurate records of compliance-related activities, including client documentation, audit findings, and correspondence with regulators.
- Ensure proper documentation of risk assessments, control measures, and compliance testing.

Your Superpowers

Experience

- Company Secretary with 4+ years of progressive experience
- Thorough knowledge of SEBI regulations around broking and AIF entities
- Having worked in a SEBI regulated entity – OBPP, Broking, AIF, MFD or RA

Personality traits

- You have an eye for process improvements and are organized with attention to detail
- You thrive in a dynamic, fluid and unstructured environment because you are a self starter keen to learn and execute
- You are adept at prioritization and project management with attentiveness to detail and consistent follow through
- You are open to new ways of thinking and committed to acquiring new skills to retain a competitive advantage
- Your key traits are integrity, credibility, and commitment

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