Compliance Officer

Roles and Responsibilities

1. To ensure that operations and business transactions of the company are conducted in compliance with all relevant legal, compliance requirements of various regulatory authorities including SEBI, Stock exchanges, Depository and internal policies.

2. Overall management and supervision of Compliance function for the company

3. Implementation of circulars issued by SEBI, Stock Exchanges, Depository, RBI or any other relevant regulatory authority

4. Ensure submission of periodic returns and reports prescribed by SEBI, Stock Exchanges, Depository Participants, RBI (such as FATCA, Enhanced Supervision, Risk Based Supervision, Quarterly Compliance reports, Internal Audit Reports, Reports to SEBI under Portfolio Management Regulations, other adhoc reports required by regulators etc)

5. Ensure compliance with SEBI Portfolio Management, AIF regulations

6. Supervision of functions of KYC departments

7. Correspondence with SEBI, Exchange, other regulators

8. Supervision of records maintenance in respect of compliance function

9. Draft and/ or revise company policies relevant to compliance with SEBI, Stock Exchange and other capital market Regulations

10. Set plans to mitigate compliance risk or address compliance violations, Inspection observations

11. Coordinate with other departments of the company such as Operations, Risk Management, Dealing Room, Finance and Accounts for management of compliance function

12. Coordinate with external, internal auditors, Inspection team and HR Department

13. Handling Investor Grievances

14. Reporting to Board of Directors about compliance function of the company

15. Educate and train employees on various circulars, regulations and industry practices