Compliance Expert for Regulated Environment
2 weeks ago
About Us:
">Capitalmind is a registered portfolio management company and Alternative Investment Fund (AIF) dedicated to innovation and excellence in the financial services industry. We are actively expanding our presence into the Mutual Fund licensing realm, having received in-principle approval from SEBI to launch a mutual fund in August 2024.
">Job Overview:
">We seek a highly skilled Compliance Associate/Manager to join our team at Capitalmind Asset Management Private Limited. This role is based in Bangalore and requires an on-site work arrangement.
">Key Responsibilities:
">- ">
- To assist the Head of Compliance with day-to-day activities, ensuring seamless regulatory submissions and maintaining compliance with the Compliance Manual.">
- Prepare, organize, and submit various regulatory disclosures to SEBI, adhering to submission deadlines and timelines.">
- Continuously monitor regulatory requirements and ensure internal or external submissions are made in a timely manner.">
- Coordinate with key vendors (Registrar & Transfer Agent, Fund Accountant, Custodian) to verify correctness and timeliness of regulatory submissions prepared by them.">
- Liaise with internal teams (Operations, Risk, Investor Relations) in case of any disclosure-related discrepancies affecting these functions.">
- Liaise with the Finance Director for timely reporting of quarterly, half-yearly, and annual financial statements.">
- Ensure all disclosures made on the AMC's website are up-to-date and accurate.">
- Coordinate with the AMC Company Secretary for ad-hoc compliance-related tasks requested by the Board of the AMC or Trustees.">
- Collaborate with external counsels and consultants if needed.">
- Liaise with regulatory authorities.">
- Handle or assist with corporate/regulatory due diligence, statutory, and internal audits.">
Requirements:
">- ">
- A degree in finance or law is advantageous.">
- Practical knowledge of SEBI, FEMA, and RBI regulations is essential.">
- Previous compliance experience is preferred.">
- Excellent communication and teamwork abilities, with the ability to coordinate with internal and external parties to complete tasks.">
- Strong analytical skills, with a robust work ethic and ability to meet deadlines.">
- Tech-savviness and adaptability to new tools.">
- Company Secretary experience is an asset.">
- A minimum of 3 years of professional experience.">
Salary Range: ₹8-12 lakhs per annum, depending on qualifications and experience.
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