Compliance Officer

7 hours ago

Mumbai, Maharashtra, India Weekday AI Full time ₹ 12,00,000 - ₹ 20,00,000 per year

This role is for one of the Weekday's clients

Salary range: Rs Rs ie INR 12-20 LPA)

Min Experience: 5 years

Location: Mumbai

JobType: full-time

We are seeking an experienced professional to manage and oversee compliance activities under SEBI AIF and PMS Regulations. The ideal candidate will be responsible for ensuring end-to-end regulatory adherence, handling SEBI interactions, and maintaining seamless coordination across stakeholders to ensure smooth compliance operations.

Requirements
Key Responsibilities
  • Manage SEBI registration and scheme launch applications under AIF and PMS regulations, and resolve queries raised by SEBI.
  • Handle complete compliance management under SEBI AIF Regulations, including quarterly, half-yearly, and annual filings with SEBI, Trustees, and Investors.
  • Collaborate with stakeholders such as Trustees, Auditors, Investors, RTAs, Custodians, and others to ensure timely compliance and reporting.
  • File applications and obtain registrations for LEI, CVLKRA, CAM KRA, FIU-India, and other related schemes.
  • Oversee investor onboarding and channel partner/distributor registration processes.
  • Implement changes as per regulatory updates in coordination with internal departments.
  • Manage full compliance for Portfolio Management Services (PMS) operations.
  • Support internal and external audits and facilitate regulatory inspections for AIF and PMS.
  • Conduct and document Investment Committee Meetings as required.
  • Draft, update, and implement internal policies and operational frameworks in line with AIF and PMS guidelines.
  • Coordinate with the Legal team for vetting and reviewing legal documents.
  • Handle compliance matters related to change in registered office and other statutory updates.
  • Ensure regulatory compliance across all AIF schemes and PMS activities.
  • Advise business leaders on compliance implications of transactions, focusing on SEBI and other regulatory requirements, including KYC, trades, settlements, resolutions, and reporting.
  • Draft and maintain compliance manuals and business process policies covering multiple regulatory aspects.
  • Facilitate regulatory audits and ensure adherence to all financial and legal obligations.
  • Oversee compliance in the development and use of specialized financial structures, and coordinate with external advisors, law firms, and company secretarial firms.
  • Independently conduct Board, Shareholder, and Committee meetings, including drafting of notices, agendas, and minutes.
  • Manage company incorporation processes and drafting of Articles and Memorandum of Association.

Skills:
AIF & PMS Regulations · SEBI Compliance · Regulatory Filings · Legal Liaison · Secretarial Compliance · Audit Coordination · Policy Drafting · Investor Onboarding

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