Compliance Specialist

2 days ago

Rajkot, Gujarat, India beBeeCompliance Full time ₹ 1,50,00,000 - ₹ 2,00,00,000
Compliance Manager Role

Job Description:

Key Responsibilities:

  • Monitor and report on ongoing compliance with SEBI AIF and PMS regulations, including the preparation and submission of required monthly, quarterly, and annual filings, reports, and disclosures to regulatory authorities.
  • Coordinate with regulators for PMS and AIF compliance, as well as handle queries and liaisoning with various service providers and vendors.
  • Oversee ongoing and event-based submissions with RBI and Income Tax, including FATCA/CRS, FIRMS, and other relevant matters.
  • Review, prepare, and update Private Placement Memoranda, Trust Deeds, KYC documents, contribution agreements, distribution agreements, and intimation to regulatory authorities where necessary.
  • Coordinate with internal auditors and statutory auditors to handle SEBI inspections and interact with external parties for regulatory requirements.
  • Collaborate with counsel for legal support, opinions, and clarifications, and monitor changes in SEBI regulations, directives, and circulars to ensure organizational practices remain up-to-date and compliant.
  • Liaise with product and sales teams on products and filings, including preparation and updating of Private Placement Memoranda and amendments to Trust Deeds.
  • Conduct and arrange committee meetings, including valuation committees and investment management committees, and maintain minutes of all committee meetings.

Required Skills and Qualifications:

  • Excellent communication skills in English (oral and written)
  • Strong interpersonal and networking skills
  • Result-oriented with a collaborative approach
  • Excellent knowledge of MS Office (Word, PowerPoint, Excel)
  • Graduate or Post Graduate degree in Law preferred
  • NISM Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination an added advantage
  • Minimum 3-5 years of experience handling compliance, legal functions in allied industries (AIF/PMS) with working knowledge of SEBI AIF & PMS Regulations

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