Regulatory Compliance Specialist
1 week ago
The primary responsibility of this role is to ensure the company's compliance with various regulatory requirements, particularly those related to SEBI AIF and PMS regulations. This involves monitoring ongoing compliance, reporting as required, and preparing and submitting necessary filings, reports, and disclosures.
- Monitoring and maintaining accurate records of regulatory submissions, including monthly, quarterly, and annual reports.
- Liaising with regulators, internal auditors, and external parties to address queries and resolve issues related to compliance.
- Reviewing and updating Private Placement Memoranda (PPMs), Trust Deeds, KYC documents, contribution agreements, distribution agreements, and other relevant documents to ensure compliance with regulatory requirements.
- Coordinating with service providers, vendors, and forums for various compliance-related matters.
Key Skills:
-• Excellent interpersonal and communication skills
- Ability to build strong relationships with stakeholders, including regulators, internal departments, and external partners
- Strong analytical and problem-solving skills to address complex compliance issues
Qualification:
-• Graduate/Postgraduate degree in Law or a related field is preferred.
- NISM Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination will be an added advantage
Experience:
-• Minimum 3-5 years of experience in handling compliance functions in allied industries (AIF/PMS) with knowledge of SEBI AIF and PMS Regulations
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