
Regulatory Compliance Officer
8 hours ago
Job Title: Regulatory Compliance Officer
About the Role:
We are seeking a highly skilled and experienced Regulatory Compliance Officer to join our team. The successful candidate will be responsible for ensuring that all regulatory requirements are met, and our organisation remains compliant with relevant laws and regulations.
Key Responsibilities:
- Monitoring Compliance: Monitor ongoing compliance and reporting under SEBI AIF and PMS regulation, preparing and submitting required filings, reports, and disclosures.
- Liaising with Regulators: Liaise with regulators for PMS, AIF compliance, and queries.
- Event-Based Submissions: Monitor event-based submissions with RBI and Income Tax (FATCA/CRS, FIRMS, etc).
- Policy Review and Update: Review and update Private Placement Memorandum, amendments to Trust Deed, KYC documents, contribution agreements, distribution agreements, and intimation to regulatory Authorities.
- Collaboration: Coorporate with service providers/vendors/Forums for compliance matters.
- Audit Support: Liaise with internal auditors and statutory auditors, handling SEBI inspections, interacting with auditors for regulatory requirements.
- Counsel Support: Coordinate with counsels for legal support and opinions.
- Regulatory Updates: Monitor changes in SEBI regulations to ensure organisation's practices remain up-to-date and compliant.
- Product Filings: Liaise with product and sales team on products and filings preparation.
- Committee Meetings: Conduct committee meetings, maintain minutes, and develop organisational compliance policies and procedures.
- Document Review: Review marketing material and other documents from a regulatory perspective.
- Agreement Drafting: Draft and vet various agreements, legal documents, policies, and standard operating procedures.
- Compliance Guidance: Collaborate with departments to provide guidance on compliance-related matters.
- Record Maintenance: Maintain records of compliance activities and documentation.
Required Skills and Qualifications:
- Bachelor's degree in Law or related field.
- Prior experience in regulatory compliance, preferably in the financial services industry.
- Excellent analytical and problem-solving skills.
- Strong communication and interpersonal skills.
- Ability to work in a fast-paced environment and meet deadlines.
- Knowledge of SEBI regulations and guidelines.
Benefits:
Our organisation offers a competitive salary package, comprehensive benefits, and opportunities for professional growth and development.
Others:
This is an exciting opportunity for a motivated and results-driven individual to join our team and contribute to our mission of delivering exceptional services to our clients.
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