Senior Compliance Professional

4 days ago

Kota, Rajasthan, India beBeeCompliance Full time ₹ 1,80,00,000 - ₹ 2,30,00,000
Job Title

Elevate Your Career with a Senior Compliance Role

About Us

This role offers an exciting opportunity to contribute to the success of our organization as a Senior Compliance Manager. With a strong management team and senior personnel in various functions, we are well-established in the asset management industry.

Key Responsibilities
  • We seek a highly organized individual to prepare and review compliance reports, test reports, and regulatory disclosures to ensure accuracy and timeliness before submission to relevant authorities.
  • The successful candidate will support the Head of Compliance in preparation and ongoing monitoring of investment limits within our front-office system.
  • Draft, revise, and implement compliance-related policies, procedures, and standards in line with regulatory updates and internal controls.
  • Monitor various functions for regulatory adherence; conduct internal reviews and oversee day-to-day compliance tasks.
  • Liaise with regulators, auditors, consultants, and other stakeholders on compliance and audit matters.
  • Ensure compliance with relevant regulations and laws, reviewing advertisements and investor communications for regulatory compliance.
  • Interpret, circulate, and implement regulatory directives as received from time to time.
  • Assist in the preparation of Scheme Information Documents (SID) and Key Information Memoranda (KIM).
  • Work collaboratively with vendors and internal teams to ensure correctness and timeliness of submissions and disclosures.
  • Ensure all regulatory disclosures on our website remain current and accurate.
  • Handle compliance-related tasks requested by the Board, Trustees, or Company Secretary and ensure smooth compliance continuity across functions.

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