OmniScience Capital - Assistant Manager - Compliance - LLM/LLB/CS

CTC: 7 - 8 LPA

Exp: 1 - 3 years

Designation: Assistant Manager (Compliance)

Location: BKC, Mumbai (Work from office)

Job Summary:

Seeking a detail-oriented and proactive Compliance Specialist to join our team. The ideal candidate will have a strong understanding of regulatory requirements and a keen eye for identifying and mitigating compliance risks. This role is critical in ensuring that our firm operates within the legal and regulatory framework, maintaining our reputation for integrity and excellence.

Roles & Responsibilities:

- Monitor and ensure compliance with regulatory requirements (SEBI, BSE, SEC, ROC) and internal policies.

- Conduct regular audits and assessments to identify potential compliance issues.

- Develop and implement compliance programs and training for employees.

- Stay updated on changes in laws and regulations affecting the investment management industry.

- Prepare and submit regulatory filings and reports.

- Collaborate with various departments to address compliance-related concerns.

- Investigate and resolve compliance violations and recommend corrective actions.

- Maintain accurate and up-to-date compliance records and documentation.

- Assist in the development and review of compliance policies and procedures.

- Provide guidance and support to staff on compliance-related matters.

- Coordinating and handling (both internal & external) compliance audit queries.

- Establishing processes and trackers to ensure compliance with SEBI, BSE, SEC, and ROC guidelines.

- Ensuring timely collection and maintenance of quarterly/annual compliance requirements.

- Ensure full compliance with audits, controls, and processes in accordance with SEBI, BSE, SEC, and ROC regulations.

- Keeping oneself updated on changes in any Markets / Compliance / Regulatory processes/norms.

- To track the completion of action points arising out of audits & following up for action on them.

- Establishing a compliance calendar that identifies all important dates for regulatory and reporting matters, to ensure that important deadlines are met.

- Assisting/Coordinating with accounts team, and CA team for all statutory compliances such as Board Meeting, AGM, EGM, Annual Report, etc.

Job Requirements:

- Strong knowledge of regulatory requirements of SEBI, BSE, SEC, ROC and industry best practices.

- Excellent analytical and problem-solving skills.

- Strong attention to detail and ability to work independently.

- Effective communication and interpersonal skills.

- Ability to manage multiple tasks and meet deadlines.

Qualifications:

- Bachelor's degree in Law, Finance, Business Administration, Accounting, or a related field.

- CS/LLM/LLB is highly desirable.

- Professional certifications such as Certified Anti-Money Laundering Specialist (CAMS), Certified Regulatory Compliance Manager (CRCM), Financial Risk Manager (FRM), NISM III-A or equivalent is advantageous.

Experience:

- Minimum of 1-3 years of experience in compliance, preferably within the investment management or financial services industry.

- Proven track record of successfully managing compliance programs and initiatives.

- Experience in conducting audits and assessments.

- Familiarity with regulatory filings and reporting processes.

- Specific experience working with SEBI-regulated entities is essential.