Chief Compliance Specialist

Job Summary:

As a key member of our team, you will be responsible for ensuring compliance with regulatory requirements. This includes monitoring ongoing compliance, reporting as required, and preparing and submitting required filings.

• Monitoring of ongoing compliance and reporting as required under SEBI AIF and PMS regulation is crucial to ensure that our organization remains compliant with the relevant regulations.
• 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. requires strong organizational skills and attention to detail.
• Liaisoning and coordinating with regulators for PMS, AIF compliance and queries is essential to maintain positive relationships with regulatory bodies.
• Monitoring ongoing and event-based submissions with RBI and Income Tax (FATCA/CRS, FIRMS, etc) requires effective communication and problem-solving skills.
• Review, preparation/up-dation of Private Placement Memorandum and amendments including Trust Deed, KYC documents/contribution agreements/distribution agreements and intimation to regulatory Authorities wherever required involves reviewing and analyzing complex legal documents.
• Coordinating with various service providers/vendors/forums for various compliance-related matters pertaining to AIF and PMS requires excellent interpersonal and negotiation skills.
• 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 involves maintaining confidentiality and discretion.
• Coordinating with counsels for legal support, opinions, and clarifications requires strong analytical and problem-solving skills.
• Monitoring changes in SEBI regulations, directives, and circulars to ensure that the organization's practices and policies remain up-to-date and compliant involves staying current with industry developments and best practices.
• Liaisoning with product and sales teams 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 requires effective collaboration and communication skills.
• Liaisoning with product and sales teams on products and filings with regulators requires strong organizational and time management skills.
• Conducting and arranging Committee meetings - valuation committee, investment Management committee; also to maintain minutes of all committee meetings involves facilitating discussions and decision-making processes.
• Developing, implementing, and managing organizational compliance policies and procedures in line with applicable laws, regulations, and industry best practices requires strong leadership and strategic thinking skills.
• Review of marketing material and other marketing/sales documents from a regulatory perspective; inclusive of other advertisement literature, factsheets, and communications involves analyzing and interpreting complex information.
• Drafting and vetting various agreements, legal documents, policies, and standard operating procedures requires strong writing and analytical skills.
• Collaborating with internal departments to provide guidance on compliance-related matters involves building and maintaining strong relationships with stakeholders.
• Maintaining comprehensive and accurate records of compliance activities and documentation, ensuring easy access for internal and external review involves maintaining confidentiality and discretion.
• Coinjointly working with Group compliance team for compliances relevant to other verticals involves collaborating and communicating effectively with cross-functional teams.

• Interpersonal/Communication Skills
• Negotiation 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)

The ideal candidate will have a minimum of 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.