Compliance Advisor

2 days ago

Hubli, Karnataka, India beBeeCompliance Full time ₹ 60,00,000 - ₹ 1,20,00,000
Compliance Specialist Role

We are seeking a highly skilled Compliance Specialist to join our team. The successful candidate will be responsible for ensuring that our organisation remains compliant with all relevant laws and regulations.

The ideal candidate will have a strong understanding of regulatory requirements, excellent communication skills, and the ability to work effectively in a fast-paced environment.

Key Responsibilities:

  • Monitoring ongoing compliance and reporting as required under SEBI AIF and PMS regulation – Preparation and submission of required monthly, quarterly, annual regulatory filings, reports, & disclosures to SEBI and other relevant authorities.
  • Liaising and coordinating with regulators for PMS, AIF compliance and queries.
  • Monitoring ongoing and event-based submissions with RBI and Income Tax (FATCA/CRS, FIRMS, etc)
  • Reviewing, preparing/updating Private Placement Memorandum and amendments including Trust Deed, KYC documents/contribution agreements/distribution agreements and intimation to regulatory Authorities wherever required.
  • Coordinating with various service providers/vendors/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/other routine regulatory filings/compliances.
  • Coordinating with counsels for legal support, opinions, and clarifications.
  • Monitoring changes in SEBI regulations, directives, and circulars to ensure that the organisation's practices and policies remain up-to-date and compliant.
  • Liaising with product and sales teams 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.
  • Liaising with product and sales teams on products and filings with regulator.
  • Conducting and arranging Committee meetings – valuation committee, investment Management committee; also to maintain 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; inclusive of other advertisement literature, factsheets, and communications.
  • 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, ensuring easy access for internal and external review.
  • Cojointly working with Group compliance team for compliances relevant to other verticals.

Required Skills and Qualifications:

  • Interpersonal/communication skills.

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