Compliance Professional

19 hours ago

Coimbatore, Tamil Nadu, India beBeeCompliance Full time ₹ 18,00,000 - ₹ 24,00,000

**Job Overview:**

We are seeking an experienced Compliance Manager to join our team. As a key member of our organization, you will play a critical role in ensuring that we maintain the highest standards of compliance and regulatory adherence.

Key Responsibilities:

  • Monitoring of ongoing compliance and reporting as required under SEBI AIF and PMS regulation – Preparation and submission of required monthly, quarterly, annual regulatory/ CTR and other compliance filings, reports, & disclosures to SEBI and other relevant authorities like trustees, custodians, RBI, etc.

  • Liaising and coordinating with Regulator for PMS, AIF compliance and queries

  • Monitoring ongoing and event-based submissions with RBI and Income Tax (FATCA/CRS, FIRMS, etc)

  • Review, Preparation/Up-dation of Private Placement Memorandum and amendments including to 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; Interact with auditors and other external parties for various regulatory requirements/ other routine regulatory filings/ compliances.

  • Coordinating with counsels for legal support, opinions and clarifications.

  • Monitor 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 team 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 team on products and filings with regulator.

  • Conducting and arranging Committee meetings - valuation committee, investment Management committee; also to maintain minutes of all committee meetings.

  • Develop, implement, and manage organisational compliance policies and procedures in line with applicable laws, regulations, and industry best practices.

  • Review of 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.

  • Collaborate with internal departments to provide guidance on compliance-related matters.

  • Maintain comprehensive and accurate records of compliance activities and documentation, ensuring easy access for internal and external review.

  • Co-Jointly work with Group compliance team for compliances relevant to other verticals

Required Skills and Qualifications:

  • Interpersonal/Communication skills

  • Networking and Market Intelligence

  • Strong Client Relationship Skills

  • Result Orientation

  • Collaborative Approach

Benefits:

You will have the opportunity to work with a dynamic team and contribute to the growth and success of our organization.

Others:

Please note that this is a general job description and not a contract or employment agreement.

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