Compliance Manager

Job Responsibilities : -

• Monitoring of ongoing compliance and reporting as required under SEBI AIF and PMS regulation – Preparation and submission of required monthly, quarterly, annual regulatory / CTR and other compliance filings, reports, & disclosures to SEBI and other relevant authorities like trustees, custodians, RBI, etc.
• Liasoning and co-ordinating with Regulator for PMS, AIF compliance and queries
• Monitoring ongoing and event-based submissions with RBI and Income Tax (FATCA / CRS, FIRMS, etc)
• Review, Preparation / Up-dation of Private Placement Memorandum and amendments including to Trust Deed, KYC documents / Contribution agreements / distribution agreements and intimation to regulatory Authorities wherever required.
• Co-ordinate with various service providers / vendors / Forums for various compliance related matters pertaining to AIF and PMS.
• Liasoning with Internal auditors and statutory auditors and effectively handling SEBI inspections; Interact with auditors and other external parties for various regulatory requirements / other routine regulatory filings / compliances.
• Co-ordinating with counsels for legal support, opinions and clarifications
• Monitor changes in SEBI regulations, directives, and circulars to ensure that the organisation’s practices and policies remain up-to-date and compliant.
• Liasoning with product and sales team on products and filings Preparation / Up-dation of Private Placement Memorandum and amendments including Trust Deed Review of Application Form, literature, factsheets, communiques and communications Regulatory reporting - Filings monthly / Quarterly report reports, annual CTR.
• Liasoning with product and sales team on products and filings with regulator.
• Conducting and arranging Committee meetings - valuation committee, investment Management committee; also to maintain minutes of all committee meetings.
• Develop, implement, and manage organisational compliance policies and procedures in line with applicable laws, regulations, and industry best practices.
• Review of marketing material and other marketing / sales documents from a regulatory perspective; inclusive of other advertisement literature, factsheets and communications.
• Drafting and vetting various agreements, legal documents, policies, and standard operating procedures.
• Collaborate with internal departments to provide guidance on compliance-related matters.
• Maintain comprehensive and accurate records of compliance activities and documentation, ensuring easy access for internal and external review.
• Co-Jointly work with Group compliance team for compliances relevant to other verticals

Key Skills : -

Functional Competencies : -

Qualification : -

Experience : -