Associate - Aif Compliances
1 week ago
**Job description**
Department: Compliance
Job Summary:
This role will involve monitoring regulatory changes, conducting internal audits, statutory audits, SEBI compliances and maintaining comprehensive compliance records.
Key Responsibilities:
Regulatory Compliance:
o Monitor and interpret all applicable SEBI regulations, circulars, and guidelines related to PMS and AIFs.
o Advise business units on regulatory requirements and best practices.
o Conduct regular reviews of internal policies, procedures, and controls to ensure compliance.
o Develop and implement compliance programs and training modules for relevant staff.
Internal Audits and Controls:
o Conduct periodic internal audits to assess compliance with regulatory requirements and internal controls.
o Investigate and resolve compliance issues and deficiencies.
o Maintain accurate and up-to-date compliance records and documentation.
Regulatory Reporting:
o Prepare and file all regulatory filings with SEBI, including but not limited to:
Monthly/Quarterly reports
Annual returns
Sebi offsite
PPM audit report
INVI filing
Other regulatory filings as required
o Ensure timely and accurate submission of all regulatory reports.
Liaison with Regulators:
o Interact and coordinate with SEBI and other regulatory authorities on compliance matters.
o Respond to inquiries and requests from regulators.
Risk Management:
o Identify and assess compliance risks and implement appropriate mitigation measures.
o Monitor market trends and regulatory developments to proactively address potential compliance issues.
Due Diligence:
Conduct due diligence on all inflows and outflows of funds to ensure compliance with AML/KYC regulations and other applicable laws.
Qualifications & Experience:
Bachelor's degree in law, CS, finance, or a related field.
NISM Series III A certificate will be given Preference.
3+ years of experience in compliance within the asset management industry, with a strong focus on PMS and AIFs.
In-depth knowledge of SEBI regulations and guidelines pertaining to PMS and AIFs.
Strong analytical, problem-solving, and decision-making skills.
Excellent communication, interpersonal, and presentation skills.
Detail-oriented with strong organizational and time-management skills.
Proficient in MS Office Suite (Word, Excel, PowerPoint).
Experience with Wealth spectrum software will be added advantage.
Role:
Industry Type:
Department:
Employment Type:
Full Time, Permanent
Role Category:
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