Compliance Professional

1 day ago

Allahabad, Uttar Pradesh, India beBeeCompliance Full time ₹ 12,00,000 - ₹ 20,00,000

Job Title: Compliance Manager

As a key member of our team, you will be responsible for ensuring that all compliance matters are handled efficiently and effectively. Your primary goal will be to guarantee that our organization is in full compliance with all relevant regulations and laws.

Key Responsibilities:
  • Regulatory Compliance: Prepare and submit required monthly, quarterly, annual regulatory filings, reports, and disclosures to relevant authorities.
  • Liaisoning and Coordination: Liaise and coordinate with regulators for PMS and AIF compliance and queries.
  • Monitoring and Reporting: Monitor ongoing and event-based submissions with RBI and Income Tax (FATCA/CRS, FIRMS, etc).
  • Document Preparation: Review, prepare, and update Private Placement Memorandum and amendments, including Trust Deed, KYC documents, Contribution agreements, Distribution agreements, and intimation to regulatory Authorities.
  • Vendor Management: Coordinate with various service providers, vendors, and forums for various compliance-related matters pertaining to AIF and PMS.
  • Internal Audits: Liaise with internal auditors and statutory auditors and effectively handle SEBI inspections; interact with auditors and other external parties for various regulatory requirements and other routine regulatory filings/compliances.
  • Legal Support: Coordinate with counsels for legal support, opinions, and clarifications.
  • Regulatory Updates: Monitor changes in SEBI regulations, directives, and circulars to ensure that the organization's practices and policies remain up-to-date and compliant.
Required Skills and Qualifications:
  • Interpersonal/Communication Skills: Excellent communication skills with ability to interact with various stakeholders.
  • Networking and Market Intelligence: Strong networking skills with ability to gather market intelligence.
  • Client Relationship Skills: Strong client relationship skills with ability to build and maintain relationships.
  • Result Orientation: Result-oriented with ability to meet deadlines.
  • Collaborative Approach: Collaborative approach with ability to work with cross-functional teams.
Qualifications:
  • Graduate/Post Graduate: Graduate or Post Graduate degree in Law preferred.
  • NISM Certification: NISM Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination an added advantage.
Experience:
  • Minimum 3-5 Years: Minimum 3-5 years of experience handling compliance, legal functions in allied industries (AIF/PMS) with working knowledge of SEBI AIF & PMS Regulations.

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