Regulatory Compliance Specialist

We are seeking a seasoned Compliance Manager to oversee the monitoring of ongoing compliance and reporting as required under SEBI AIF and PMS regulation. The ideal candidate will prepare and submit required monthly, quarterly, annual regulatory/CTR and other compliance filings, reports, & disclosures to SEBI and other relevant authorities.

1. 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.
2. Liaisoning and coordinating with Regulator for PMS, AIF compliance and queries
3. Monitoring ongoing and event-based submissions with RBI and Income Tax (FATCA/CRS, FIRMS, etc)
4. 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.
5. Coordinating with various service providers/vendors/Forums for various compliance related matters pertaining to AIF and PMS
6. Liaisoning 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
7. Coordinating with counsels for legal support, opinions and clarifications
8. Monitor changes in SEBI regulations, directives, and circulars to ensure that the organisation's practices and policies remain up-to-date and compliant.
9. Liaisoning 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
10. Liaisoning with product and sales team on products and filings with regulator
11. Conducting and arranging Committee meetings – valuation committee, investment Management committee; also to maintain minutes of all committee meetings
12. Develop, implement, and manage organisational compliance policies and procedures in line with applicable laws, regulations, and industry best practices
13. Review of marketing material and other marketing/sales documents from a regulatory perspective; inclusive of other advertisement literature, factsheets and communications
14. Drafting and vetting various agreements, legal documents, policies, and standard operating procedures
15. Collaborate with internal departments to provide guidance on compliance-related matters
16. Maintain comprehensive and accurate records of compliance activities and documentation, ensuring easy access for internal and external review
17. Co-Jointly work with Group compliance team for compliances relevant to other verticals

• Interpersonal/Communication skills
• Networking and Market Intelligence
• Strong Client Relationship Skills
• Result Orientation
• Collaborative Approach

• Excellent MS Office skills
• Excellent communication skills in English (oral and written)

• 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

• 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