Compliance Expert

4 days ago

Aligarh, Uttar Pradesh, India beBeeCompliance Full time ₹ 8,00,000 - ₹ 12,00,000

Compliance Professional

 

We are seeking a highly skilled Compliance Professional to join our team. As a key member of our organization, you will play a vital role in ensuring that our operations comply with all relevant laws and regulations.

 

About the Role:

 

  • Monitor ongoing compliance and reporting as required under SEBI AIF and PMS regulation – 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.
  • 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, Preparation/Up-dation of Private Placement Memorandum and amendments including to Trust Deed, KYC documents/Contribution agreements/ distribution agreements and intimation to regulatory Authorities wherever required.
  • Co-ordinate with various service providers/vendors/Forums for various compliance related matters pertaining to AIF and PMS.
  • Liaisoning with Internal auditors and statutory auditors and effectively handling SEBI inspections; Interact with auditors and other external parties for various regulatory requirements/ other routine regulatory filings/ compliances.
  • Co-ordinating with counsels for legal support, opinions and clarifications
  • Monitor changes in SEBI regulations, directives, and circulars to ensure that the organisation's practices and policies remain up-to-date and compliant.
  • Liaisoning with product and sales team 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.
  • Liaisoning with product and sales team on products and filings with regulator.
  • Conducting and arranging Committee meetings - valuation committee, investment Management committee; also to maintain minutes of all committee meetings.
  • Develop, implement, and manage organisational compliance policies and procedures in line with applicable laws, regulations, and industry best practices.
  • Review of marketing material and other marketing/sales documents from a regulatory perspective; inclusive of other advertisement literature, factsheets and communications.
  • Drafting and vetting various agreements, legal documents, policies, and standard operating procedures.
  • Collaborate with internal departments to provide guidance on compliance-related matters.
  • Maintain comprehensive and accurate records of compliance activities and documentation, ensuring easy access for internal and external review.
  • Co-Jointly work with Group compliance team for compliances relevant to other verticals

 

Key Skills:

 

  • Interpersonal / Communication Skills
  • Networking and Market Intelligence
  • Strong Client Relationship Skills
  • Result Orientation
  • Collaborative Approach

 

Functional Competencies:

 

  • Excellent in MS Office (Word, PowerPoint & Excel)
  • Excellent communication skills in English (oral and written)

 

Qualification:

 

  • Graduate/Post Graduate with Degree in Law is preferred.
  • NISM Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination will be an added advantage.

 

Experience:

 

  • Min. 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.

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