Legal Risk and Compliance Officer
2 days ago
Company Secretary + LLB (optional)
Experience : Minimum 5 Years
The Compliance Officer role is focused on ensuring adherence to SEBI and IFSCA regulations, particularly for Alternative Investment Funds (AIFs). The position requires a qualified Company Secretary with a minimum of 5 years of experience in the securities market, with an LLB as an added advantage. Key responsibilities include regulatory reporting, internal audits, AML/CFT compliance, coordination with custodians and fund administrators, and reviewing legal agreements. The role demands strong knowledge of regulatory frameworks, excellent communication skills, and a high level of attention to detail, along with the ability to work closely with senior management and regulatory authorities.
Company Secretary + LLB (optional) having 5 years of experience in Securities Market (5 years is must as per IFSCA Regulations).
Regulatory Compliance: Stay updated with the latest laws, regulations, and guidelines issued by SEBI and IFSCA for AIFs. Monitor regulatory changes and effectively communicate updates to relevant stakeholders.
Compliance reporting and monitoring: prepare and submit accurate and timely regulatory reports as required by SEBI and IFSCA.
Ensure the completeness and accuracy of data submitted in these reports.
Establish and maintain a system for ongoing monitoring of compliance activities related to AIF operations.
Conduct regular audits and assessments to identify areas of non-compliance or potential risks. AML/CFT compliance and monitoring.
Review/drafting of legal agreements.
Good understanding of Regulatory and Legal affairs of SEBI Compliances.
Excellent English verbal and drafting communication skills.
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