Compliance Professional

2 weeks ago

Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 12,64,800 - ₹ 15,12,600
Job Description

We are seeking a diligent Compliance Officer to oversee our organization's compliance with regulatory requirements.

  • Ensure ongoing adherence to SEBI AIF and PMS regulations, preparing and submitting necessary filings, reports, and disclosures in a timely manner.
  • Act as a liaison between regulators and internal teams for compliance-related queries and matters.
  • Monitor and submit event-based submissions to RBI and Income Tax (FATCA/CRS, FIRMS, etc).
  • Review and update critical documents, including Private Placement Memorandum, Trust Deed, KYC documents, Contribution agreements, distribution agreements, and intimation to regulatory Authorities as required.
  • Collaborate with service providers/vendors/Forums for various compliance-related matters pertaining to AIF and PMS.
  • Liaise with Internal auditors and statutory auditors to ensure seamless inspections.
  • Coordinate with external counsel for legal support, opinions, and clarifications.
  • Stay updated on SEBI regulations, directives, and circulars to maintain organizational compliance.
  • Communicate with product and sales teams on products and filings.
  • Organize and maintain minutes of committee meetings.
  • Develop, implement, and manage organizational compliance policies and procedures aligned with applicable laws, regulations, and industry best practices.
  • Review marketing material and other marketing/sales documents from a regulatory perspective.
Required Skills and Qualifications
  • Strong interpersonal and communication skills
  • Excellent networking and market intelligence abilities
  • Proven client relationship management skills
  • Results-oriented approach
  • Collaborative mindset
  • Proficiency in MS Office (Word, PowerPoint & Excel)
  • Fluent English communication skills (oral and written)
Qualifications
  • Graduate or Post Graduate degree 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 compliance, legal functions in allied industries (AIF / PMS) having a working knowledge of SEBI AIF & PMS Regulations

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