Executive Compliance Officer

2 weeks ago


Lucknow, Uttar Pradesh, India beBeeCompliance Full time ₹ 60,00,000 - ₹ 1,00,00,000
Compliance Leader

Objective:

  • Lead compliance efforts for all provisions of SEBI Act, AIF Regulations, FEMA, and IFSC regulations and circulars.

Key Responsibilities:

  • Oversee compliance for all provisions of the SEBI Act, AIF Regulations/FEMA/IFSC regulations and circulars.
  • Manage Gift City operations and its compliances on a daily basis.
  • Collaborate with legal, accounting, and compliance teams for timely regulatory reporting and compliances.
  • Handle investor queries related to compliance on a regular basis.
  • Identify issues proactively and anticipate outcomes considering the operational risk framework in line with the legal parlance.
  • Establish efficient controls for reconciliations, risk, and compliance management, reviewing daily/periodical MIS and daily operations management.
  • Develop partnerships with incubators, accelerators, angel networks, micro-VC, etc., running outreach programs, meeting, evaluating, coaching, mentoring, and developing founders and supporting startup ecosystems.
  • Represent senior management and drive organizational culture and values among the employee base.

Qualifications and Experience:

  • Minimum 5 years of experience in related activities in the securities market or financial products including portfolio manager, broker dealer, investment advisor, wealth manager, research analyst, or fund management.
  • Knowledge of finance/accounting preferred.
  • Proficient in MS Excel, PowerPoint.

Key Skills:

  • Ability to manage complexity and ambiguity in day-to-day operations.
  • Excellent oral and written communication skills.
  • Meticulous reporting, analytical skills, and attention to detail.
  • Strong organizational skills and orientation towards strict attention to detail.
  • Ability to think outside the box and find creative solutions.
  • Numerical skills & proficiency in MS Office Suite.

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