Regulatory Affairs Specialist

As a seasoned Compliance Manager, you will be responsible for ensuring the organization's adherence to regulatory requirements and industry best practices. Your role will involve monitoring ongoing compliance activities, preparing and submitting required reports and filings, and liaising with regulators and external parties.

1. Monitoring ongoing compliance activities and reporting as required under SEBI AIF and PMS regulations
2. Preparation and submission of required monthly, quarterly, annual regulatory/CTR and other compliance filings, reports, and disclosures to SEBI and other relevant authorities
3. Liaising and coordinating with regulators for PMS, AIF compliance, and queries
4. Monitoring ongoing and event-based submissions with RBI and Income Tax (FATCA/CRS, FIRMS, etc)
5. Review, preparation/updation of Private Placement Memorandum and amendments, including Trust Deed, KYC documents/contribution agreements/distribution agreements, and intimation to regulatory authorities wherever required
6. Coordinating with various service providers/vendors/forums for various compliance-related matters pertaining to AIF and PMS
7. Liaising with internal auditors and statutory auditors and effectively handling SEBI inspections; interacting with auditors and other external parties for various regulatory requirements/other routine regulatory filings/compliances
8. Coordinating with counsels for legal support, opinions, and clarifications
9. Monitoring changes in SEBI regulations, directives, and circulars to ensure that the organization's practices and policies remain up-to-date and compliant
10. Liaising with product and sales teams on products and filings preparation/updation of Private Placement Memorandum and amendments, including Trust Deed review of application form, literature, factsheets, communiques, and communications regulatory reporting - filings monthly/quarterly reports, annual CTR
11. Liaising with product and sales teams on products and filings with regulators
12. Conducting and arranging committee meetings - valuation committee, investment management committee; also maintaining minutes of all committee meetings
13. Developing, implementing, and managing organizational compliance policies and procedures in line with applicable laws, regulations, and industry best practices
14. Reviewing marketing material and other marketing/sales documents from a regulatory perspective; inclusive of other advertisement literature, factsheets, and communications
15. Drafting and vetting various agreements, legal documents, policies, and standard operating procedures
16. Collaborating with internal departments to provide guidance on compliance-related matters
17. Maintaining comprehensive and accurate records of compliance activities and documentation, ensuring easy access for internal and external review

• Excellent interpersonal and communication skills
• Strong networking and market intelligence skills
• Excellent client relationship skills
• Result-oriented and collaborative approach
• Excellent MS Office skills (Word, PowerPoint, Excel)
• Excellent communication skills in English (oral and written)
• Graduate/postgraduate degree in law is preferred
• NISM Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination will be an added advantage
• Minimum 3-5 years of experience handling compliance, legal functions in allied industries (AIF/PMS) having a working knowledge of SEBI AIF & PMS Regulations

This role offers a unique opportunity to work in a dynamic environment and contribute to the organization's growth and success.

The successful candidate will have the opportunity to develop their skills and expertise in compliance and regulatory affairs.