New
Job Preference:
Essential Qualifications and Skills :- Education: A bachelor’s degree is generally required, with preferred qualifications including a master’s degree (e.g., MBA), a Law degree (LLB), or professional certifications like Company Secretary (CS) or CFA.
- Experience: Typically requires 3-10+ years of experience in a compliance role within the financial services industry, specifically within PMS, AIF, RIA, or Asset Management environments.
- Skills: Strong knowledge of relevant regulations, analytical abilities, attention to detail, strong communication (written and verbal), and effective stakeholder management skills are crucial.
Qualification:
Bachelor of Laws, CFA, CS, MBA, Master of LawsJob Description:
Key Areas of Responsibility :- Regulatory Monitoring and Implementation: Staying current with evolving SEBI (PMS) Regulations, SEBI (Investment Advisers) Regulations, circulars, and other applicable laws (e.g., Companies Act, PMLA/AML/KYC norms).
- Policy and Procedure Management: Developing, drafting, implementing, and updating internal compliance policies, procedures, and internal controls manuals to reflect current regulations.
- Filings and Reporting: Preparing and ensuring the timely and accurate submission of all regulatory reports, returns, and disclosures to SEBI, MCA, and other relevant authorities, including Form ADV filings for RIAs.
- Audits and Testing: Coordinating internal and external audits, facilitating regulatory inspections, conducting compliance testing and monitoring of transactions/portfolios, and managing the resolution of any identified issues or deficiencies.
- Advisory and Training: Providing compliance guidance and training to investment, sales, operations, and client services teams to foster a culture of compliance and ensure awareness of regulatory obligations.
- Documentation and Recordkeeping: Maintaining meticulous records and an organized database of all compliance activities, client records, regulatory filings, and audit trails as required by regulations (e.g., maintaining records for five years).
- Client Onboarding and Due Diligence: Overseeing the client onboarding process to ensure all Know Your Customer (KYC), Anti-Money Laundering (AML), and Prevention of Money Laundering Act (PMLA) requirements are met.
- Risk Management: Identifying, assessing, and mitigating compliance risks, proactively highlighting potential risk areas, and implementing solutions accordingly.