Compliance Professional

2 weeks ago

Morādābād, Uttar Pradesh, India beBeeCompliance Full time ₹ 90,00,000 - ₹ 1,20,00,000
Compliance Professional Role

As a key member of our team, you will be responsible for ensuring that our organisation remains compliant with all relevant regulations and laws.

You will work closely with regulators and internal stakeholders to ensure that we meet our compliance obligations in a timely and efficient manner.

Responsibilities include:

  • Monitoring ongoing compliance and reporting as required under SEBI AIF and PMS regulations.
  • Liaising with regulators for PMS, AIF compliance, and queries.
  • Monitoring ongoing and event-based submissions with RBI and Income Tax (FATCA/CRS, FIRMS, etc.).
  • Reviewing and preparing Private Placement Memorandum and amendments, including Trust Deed, KYC documents, Contribution agreements, distribution agreements, and intimation to regulatory Authorities where required.
  • Coordinating with service providers, vendors, and forums for various compliance-related matters pertaining to AIF and PMS.
  • Liaising with internal auditors and statutory auditors and effectively handling SEBI inspections.
  • Interacting with auditors and other external parties for various regulatory requirements and other routine regulatory filings/compliances.
  • Coordinating with counsels for legal support, opinions, and clarifications.
  • Monitoring changes in SEBI regulations, directives, and circulars to ensure the organisation's practices and policies remain up-to-date and compliant.
  • Liaising with product and sales teams on products and filings.
  • Conducting Committee meetings, including valuation committee and investment Management committee, and maintaining minutes of all committee meetings.
  • Developing, implementing, and managing organisational 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.
Required Skills and Qualifications

We are looking for an individual with the following skills and qualifications:

  • Excellent interpersonal and communication skills.
  • Strong networking and market intelligence skills.
  • Ability to build strong client relationships.
  • Result-oriented approach.
  • Collaborative attitude.
  • Excellent MS Office skills (Word, PowerPoint & Excel).
  • Excellent communication skills in English (oral and written).
  • Graduate or postgraduate degree in law is preferred.
  • NISM Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination will be an added advantage.
  • Minimum 3-5 years of experience handling compliance, legal functions in allied industries (AIF/PMS) having a working knowledge of SEBI AIF & PMS Regulations.
Key Responsibilities

The key responsibilities of this role include:

  • Ensuring compliance with all relevant regulations and laws.
  • Working closely with regulators and internal stakeholders to meet compliance obligations.
  • Monitoring and reviewing compliance-related matters.
Benefits

This role offers a range of benefits, including:

  • Opportunities for professional growth and development.
  • A competitive salary package.
  • A supportive and collaborative work environment.

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