Compliance Expert: Regulatory Oversight and Assurance

2 weeks ago

Bengaluru, Karnataka, India Capitalmind Full time
About Capitalmind

Capitalmind is a pioneering portfolio management company, registered as an Alternative Investment Fund (AIF). We are committed to excellence in the financial services industry, with a focus on innovation. Our goal is to expand into the Mutual Fund licensing realm, having recently received in-principle approval from SEBI to launch a mutual fund in August 2024.

Job Overview

Job Title: Compliance Associate/Manager
Company: Capitalmind Asset Management Private Limited
Location: Bangalore, India
Work arrangement: On-site

Key Responsibilities
  • Assist the Head of Compliance with daily activities, ensuring seamless execution of regulatory requirements.
  • Prepare, organize, and submit various regulatory disclosures to SEBI, maintaining strict deadlines outlined in the Compliance Manual.
  • Monitor submission timelines to prevent delays in internal or external submissions.
  • Coordinate with key vendors (Registrar & Transfer Agent, Fund Accountant, Custodian) to ensure accuracy and timeliness of regulatory submissions prepared by these vendors.
  • Liaise with internal teams (Operations, Risk, Investor Relations) to address disclosure-related discrepancies affecting these functions.
  • Collaborate with the Finance Director for timely reporting of quarterly, half-yearly, and annual financial statements.
  • Maintain up-to-date and accurate disclosures on the AMC's website.
  • Coordinate with the Company Secretary for ad-hoc compliance tasks requested by the Board of the AMC or Trustees.
  • Liaise with external counsels and consultants if needed.
  • Handle or assist with corporate/regulatory due diligence, statutory, and internal audits.
Requirements
  • Graduation in finance or law is preferred.
  • Practical knowledge of SEBI, FEMA, and RBI regulations.
  • Previous compliance experience is advantageous.
  • Excellent communication and teamwork abilities, with the ability to coordinate with internal and external parties.
  • Strong analytical skills, with a robust work ethic and ability to meet deadlines.
  • Tech-savvy and adaptable to new tools.
  • Company Secretary experience is an asset.
  • Minimum of 3 years of professional experience.
Estimated Salary Range

$60,000 - $80,000 per annum, based on industry standards and location.

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