Compliance Officer

1 week ago

Mumbai, India Weekday AI Full time

This role is for one of the Weekday's clients Salary range: Rs 1200000 - Rs 2000000 (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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