Compliance Expert

2 weeks ago

Pune, Maharashtra, India beBeeCompliance Full time ₹ 15,00,000 - ₹ 20,00,000

Job Title: Compliance Specialist

We are seeking a highly skilled and experienced professional to oversee our organization's compliance with various regulatory requirements.

  • Ongoing Compliance Monitoring:
    • The successful candidate will be responsible for monitoring ongoing compliance and reporting as required under SEBI AIF and PMS regulations.
    • This includes preparation and submission of monthly, quarterly, and annual regulatory filings, reports, and disclosures to SEBI and other relevant authorities.

Liaisoning and Coordination:

  • The Compliance Manager will liaise and coordinate with regulators for PMS, AIF compliance, and queries, ensuring timely and accurate responses to ensure compliance.

Regulatory Reporting:

  • The role involves monitoring ongoing and event-based submissions with RBI and Income Tax (FATCA/CRS, FIRMS, etc.) and reviewing, preparing, and updating private placement memoranda and amendments, including trust deeds, KYC documents, contribution agreements, distribution agreements, and intimation to regulatory authorities as required.

Collaboration and Communication:

  • The Compliance Manager will coordinate with various service providers, vendors, and forums for compliance-related matters pertaining to AIF and PMS. They will also liaison with internal auditors and statutory auditors, effectively handling SEBI inspections, interacting with auditors and external parties for regulatory requirements, and coordinating with counsels for legal support, opinions, and clarifications.

Regulatory Awareness:

  • The successful candidate will monitor changes in SEBI regulations, directives, and circulars to ensure that the organization's practices and policies remain up-to-date and compliant.

Committee Meetings and Records:

  • The Compliance Manager will conduct and arrange committee meetings, maintain minutes of all committee meetings, and develop, implement, and manage organizational compliance policies and procedures in line with applicable laws, regulations, and industry best practices.

Maintenance of Records:

  • The role involves maintaining comprehensive and accurate records of compliance activities and documentation, ensuring easy access for internal and external review.

Key Skills and Qualifications:

  • Interpersonal/Communication Skills, Networking and Market Intelligence, Strong Client Relationship Skills, Result Orientation, Collaborative Approach.
  • Excellent in MS Office (Word, PowerPoint & Excel), Excellent communication skills in English (oral and written).
  • 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.
  • Minimum 3-5 years of experience handling compliance, legal functions in allied industries (AIF/PMS) having a working knowledge of SEBI AIF & PMS Regulations.

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