Compliance Officer

2 weeks ago

Anantapur, Andhra Pradesh, India beBeeCompliance Full time ₹ 9,00,000 - ₹ 12,00,000

Job Summary

We are seeking a skilled Compliance Manager to join our team. The successful candidate will be responsible for ensuring that our organization remains compliant with regulatory requirements.

  • Key Responsibilities:
  • Monitoring ongoing compliance and reporting as required under SEBI AIF and PMS regulation.
  • 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 and preparation of Private Placement Memorandum and amendments including Trust Deed, KYC documents/contribution agreements/distribution agreements.
  • Coordinating with various service providers/vendors/forums for various compliance-related matters pertaining to AIF and PMS.
  • Interacting with auditors and other external parties for various regulatory requirements/routine regulatory filings/compliances.
  • Coordinating with counsels for legal support, opinions, and clarifications.
  • Monitor changes in SEBI regulations, directives, and circulars to ensure organizational practices and policies remain up-to-date and compliant.
  • Preparing/updating application forms, literature, factsheets, communiques, and communications.
  • Regulatory reporting – filings monthly/quarterly reports, annual CTR.
  • Conducting and arranging Committee meetings - valuation committee, investment management committee; maintaining minutes of all committee meetings.
  • Developing, implementing, and managing organizational compliance policies and procedures in line with applicable laws, regulations, and industry best practices.
  • Reviewing marketing material and other marketing/sales documents from a regulatory perspective.
  • 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.
  • Working jointly with Group compliance team for compliances relevant to other verticals.

Requirements

  • Excellent knowledge of regulatory requirements and compliance.
  • Strong analytical and problem-solving skills.
  • Effective communication and interpersonal skills.
  • Ability to work independently and as part of a team.
  • Proven track record of compliance and risk management.
  • Proficiency in MS Office and regulatory software.

Benefits

  • Opportunity to work with a leading organization.
  • Competitive salary and benefits package.
  • Opportunities for career growth and development.

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