
Regulatory Expert
1 week ago
This position involves overseeing and ensuring adherence to regulatory requirements under SEBI AIF and PMS regulation. Duties include the preparation and submission of necessary monthly, quarterly, and annual filings, reports, and disclosures to SEBI and other relevant authorities.
Key responsibilities also involve liaising with regulators for PMS and AIF compliance, as well as monitoring ongoing and event-based submissions with RBI and Income Tax (FATCA/CRS, FIRMS, etc).
The selected candidate will review and prepare Private Placement Memorandums and amendments, including Trust Deeds, KYC documents, contribution agreements, distribution agreements, and intimation to regulatory authorities where required.
Another critical aspect is coordinating with various service providers, vendors, and forums for compliance-related matters pertaining to AIF and PMS.
The individual will interact with internal auditors, statutory auditors, and effectively handle SEBI inspections. They will also collaborate with counsels for legal support, opinions, and clarifications.
It is essential to monitor changes in SEBI regulations, directives, and circulars to ensure the organization's practices and policies remain up-to-date and compliant.
In addition, they will liaison with product and sales teams on products and filings preparation/up-dation of Private Placement Memorandums and amendments, including Trust Deed review of application form, literature, factsheets, communiques, and communications.
Conducting committee meetings - valuation committee, investment management committee; maintaining minutes of all committee meetings is also a key responsibility.
Developing, implementing, and managing organizational compliance policies and procedures in line with applicable laws, regulations, and industry best practices is crucial.
The role also involves reviewing marketing material and other marketing/sales documents from a regulatory perspective; inclusive of advertisement literature, factsheets, and communications.
Drafting and vetting various agreements, legal documents, policies, and standard operating procedures are additional duties.
Collaborating with internal departments to provide guidance on compliance-related matters and maintaining comprehensive and accurate records of compliance activities and documentation are essential tasks.
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