Senior Compliance Professional

1 day ago

Nashik, Maharashtra, India beBeeCompliance Full time ₹ 1,50,00,000 - ₹ 2,50,00,000

Compliance Officer Role

About the Job

We are seeking a seasoned Compliance Officer to oversee our compliance program and ensure adherence to regulatory requirements. In this role, you will be responsible for monitoring ongoing compliance and reporting as required under SEBI AIF and PMS regulation.

  • 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.
  • Liaising and co-ordinating with Regulator for PMS, AIF compliance and queries
  • Monitoring ongoing and event-based submissions with RBI and Income Tax (FATCA/CRS, FIRMS, etc)
  • 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.
  • Co-ordinating with various service providers/vendors/forums for various compliance-related matters pertaining to AIF and PMS.
  • 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.
  • Co-ordinating with counsels for legal support, opinions and clarifications.
  • Monitor changes in SEBI regulations, directives, and circulars to ensure that the organisation's practices and policies remain up-to-date and compliant.
  • Liaising 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.
  • Liaising with product and sales team on products and filings with regulator.
  • Conducting and arranging Committee meetings – valuation committee, investment Management committee; also to maintain minutes of all committee meetings.
  • Develop, implement, and manage organisational compliance policies and procedures in line with applicable laws, regulations, and industry best practices.
  • Review of marketing material and other marketing/sales documents from a regulatory perspective; inclusive of other advertisement literature, factsheets and communications.
  • Drafting and vetting various agreements, legal documents, policies, and standard operating procedures.
  • Collaborate with internal departments to provide guidance on compliance-related matters.
  • Maintain comprehensive and accurate records of compliance activities and documentation, ensuring easy access for internal and external review.
  • Co-working with Group compliance team for compliances relevant to other verticals.
Key Skills and Qualifications
  • Interpersonal/Communication skills
  • Networking and Market Intelligence
  • Strong Client Relationship skills
  • Result orientation
  • Collaborative approach
  • Excellent in MS Office (Word, PowerPoint & Excel)
  • Excellent communication skills in English (oral and written)
Preferred Qualifications
  • 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.
Experience
  • Minimum 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.

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