Manager - Compliance - BFSI - LLB/CS

Roles & responsibilities include :

- Ongoing compliance and reporting as required under SEBI AIF and PMS regulation

- Prepare and submit required monthly, quarterly, annual regulatory and compliance filings, reports, & disclosures to SEBI and other relevant authorities like trustees, custodians, RBI, etc.

- Ensure ongoing and event-based submissions with RBI and Income Tax (FATCA/CRS, FIRMS, FLA, etc)

- Coordinate with administrator, management company, lawyers, and other service providers for various compliances related matters pertaining to AIF and PMS

- Maintain comprehensive and accurate records of compliance activities and documentation, ensuring easy access for internal and external review.

- Collaborate with internal departments to provide guidance on compliance-related matters.

- Monitor changes in SEBI regulations, directives, and circulars to ensure that the firm's practices and policies remain up-to-date and compliant.

- Interact with auditors and other external parties for various regulatory requirements/routine matters.

- Assist in developing, implementing, and managing the firm's compliance policies and procedures in line with applicable laws, regulations, and industry best practices.

- Review marketing material and other marketing/sales documents from a regulatory perspective.

- Drafting and vetting legal documents, policies, and standard operating procedures on a periodic basis.

- Prepare resolutions, agendas, and minutes for the ongoing business activities as required.

Education :

- Professional Qualified Company Secretary with a Degree in Law is preferred.

- NISM Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination will be an added advantage

Desired Candidate Profile :

- Min. 3 -5 years of experience handling the compliance, legal, and secretarial functions in allied industries (AIF / PMS) having a working knowledge of SEBI AIF & PMS Regulations in particular.

- Excellent in MS Office (Word, PowerPoint & Excel)

- Excellent communication skills in English (oral and written)

Location : Mumbai