Chief Compliance Professional

4 days ago

Malappuram, Kerala, India beBeeCompliance Full time ₹ 80,00,000 - ₹ 1,20,00,000
Job Title: Compliance Manager

Job Description:

The ideal candidate will be responsible for ensuring compliance with regulatory requirements and developing policies and procedures to ensure adherence to relevant laws and regulations.

Key Responsibilities:

  • Monitoring of ongoing compliance and reporting as required under SEBI AIF and PMS regulation
  • Preparation and submission of required monthly, quarterly, annual regulatory filings, reports, & disclosures to SEBI and other relevant authorities
  • Liaisoning and coordinating 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
  • Coordinating with various service providers/vendors/Forums for various compliance related matters pertaining to AIF and PMS
  • Liaisoning 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
  • Coordinating 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
  • 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
  • Liaisoning 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
  • Developing, implementing, and managing 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
  • Collaborating with internal departments to provide guidance on compliance-related matters
  • Maintaining comprehensive and accurate records of compliance activities and documentation ensuring easy access for internal and external review
  • Jointly working with Group compliance team for compliances relevant to other verticals],

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