Associate - Aif Compliances

2 weeks ago

Mumbai Maharashtra, India CSAPL Full time

**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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