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Associate Vice President (Compliance)

Associate Vice President (Compliance)

Weekday AIIN
4 days ago
Job type
  • Remote
  • Quick Apply
Job description

This role is for one of the Weekday's clients

Salary range : Rs 1500000 - Rs 2300000 (ie INR 15-23 LPA)

Min Experience : 5 years

JobType : full-time

The AVP – Compliance will be responsible for overseeing and managing compliance under SEBI AIF and PMS regulations. This includes end-to-end handling of regulatory filings, scheme registrations, investor onboarding, secretarial compliance, and implementation of regulatory updates, while ensuring adherence to statutory requirements and smooth coordination with stakeholders.

Requirements

Qualifications

  • Company Secretary (CS) is a must; additional qualification in Law (LLB) is preferred.

Work Experience

  • 5–7 years of professional experience in Compliance within the Financial Services sector.

    • Key Responsibilities

  • SEBI Compliance (AIF & PMS)
  • Manage SEBI registration and scheme launch applications under AIF and PMS regulations, including responding to SEBI queries.
  • Independently handle compliance requirements for SEBI AIF Regulations, ensuring timely quarterly, half-yearly, and annual filings with SEBI, Trustees, and Investors.
  • Liaise with stakeholders such as Trustees, Auditors, Investors, RTAs, and Custodians to ensure seamless compliance processes.
  • File applications and obtain registrations for LEI, CVLKRA, CAM KRA, and FIU-India for AIF schemes.
  • Oversee investor onboarding and distributor / channel partner registrations.
  • Support internal and external audits, as well as regulatory inspections.
  • Implement compliance changes arising from regulatory updates, ensuring smooth business transition.
  • Draft and update internal compliance policies and operational frameworks under AIF and PMS guidelines.
  • Manage compliance related to change in Registered Office of AIF.
  • Provide guidance to business heads on compliance requirements for transactions, KYC, trades, settlements, resolutions, and reporting.
  • Ensure statutory compliance across all AIF schemes and PMS.
  • Secretarial Compliance
  • Independently conduct Board, Shareholder, and Committee meetings as required.
  • Incorporate companies and draft Articles / Memorandum of Association.
  • Prepare notices, agendas, and minutes for Board, Committee, and General Meetings.
  • Handle pre- and post-meeting compliances, including statutory register updates.
  • File ROC forms and oversee annual filings under the Companies Act, 2013 (e.g., XBRL, AOC-4, MGT-7).
  • Draft Directors’ Reports and related annexures.
  • Governance & Advisory
  • Develop, draft, and implement compliance-related policies and manuals for smooth business operations.
  • Ensure compliance with financial regulations, laws, and statutory requirements across business functions.
  • Facilitate compliance-related regulatory audits and inspections.
  • Work with external advisors, including law firms and compliance consultants, to address complex compliance issues.
  • Oversee the development and use of specialized financial structures from a compliance perspective.

    • Talent Attributes

  • Strong understanding of India’s regulatory and compliance framework across multiple laws and regulators.
  • Familiarity with communication protocols with regulators, exchanges, and government authorities.
  • Strong stakeholder management and relationship-building skills.
  • Excellent communication, interpersonal, and problem-solving abilities.
  • Detail-oriented with a focused and disciplined approach toward compliance.
  • Adaptable and capable of handling diverse stakeholders, including management, auditors, regulators, and consultants.
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