Capitalmind | Whole-Time Compliance Associate/Manager | bangalore

7 days ago

bangalore, India Capitalmind Full time

About us:

Capitalmind is a registered portfolio management company and Alternative Investment Fund (AIF). We are

committed to innovation and excellence in the financial services industry and are actively pursuing expansion

into the Mutual Fund licensing realm. We have received the in-principle approval from SEBI to launch a mutual

fund in August 2024 and are actively working to launch the mutual fund.


Job overview:

Job Title: Compliance Associate/Manager

Company: Capitalmind Asset Management Private Limited

Location: 1st Sector, HSR Layout, Bangalore

Work arrangement: On-site.


Key Responsibilities:

● To assist the Head of Compliance with their day-to-day activities.

● Prepare, organize, and submit various regulatory disclosures to SEBI.

● Continuously monitor submission deadlines as per Compliance Manual to ensure there are no delays in

making necessary internal or external submissions

● Coordinate with the AMC’s key vendors (Registrar & Transfer Agent, Fund Accountant, Custodian) to

ensure correctness and timeliness of regulatory submissions where these vendors are the preparers of the

reports

● Coordinate with internal teams (Operations, Risk, Investor Relations) in case of any disclosure related

discrepancies which affect these functions

● Liaise with the Finance Director for timely reporting for quarterly, half-yearly, and annual financial

statements

● Ensure that all disclosures made on the AMC’s website are up-to-date and correct

● Coordinate with the AMC Company Secretary for any ad-hoc compliance related tasks which have been

requested by the Board of the AMC or Trustees

● Coordinate with external counsels and consultants if needed.

● Liaise with regulatory authorities.

● Handle or assist with corporate/ regulatory due diligence, statutory and internal audits.


Requirements:

● Graduation in finance or law is a plus.

● Practical knowledge in SEBI, FEMA and RBI regulations.

● Previous compliance experience will be preferred

● Excellent communication and teamwork abilities. Ability to coordinate with internal and external parties

to get tasks completed

● Strong analytical skills with a robust work ethic in getting things done in time

● Tech-savvy and adaptable to new tools.

● Company Secretary experience is an advantage.

● Minimum of 3 years of professional experience.


Contact:

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