Regulatory Compliance Manager - Financial Services (5-7 yrs)

- We are seeking an experienced Regulatory Compliance Manager to ensure that our operations align with all applicable SEBI regulations, while managing risk and maintaining transparency in fund and investor activities.

- This role will require hands-on experience in compliance within the financial services industry, particularly related to Foreign Portfolio Investors (FPI) registration and ongoing adherence to compliance standards.

Key Responsibilities:

- Regulatory Compliance: Ensure funds comply with SEBI regulations and any other applicable financial regulations.

- Monitor Regulatory Changes: Stay updated with regulatory changes and update internal processes accordingly.

- Reporting: Monitor and report material/non-material changes within the prescribed timelines.

- Investor Position Monitoring: Track investor positions across thresholds as mandated by SEBI.

- KYC Management: Manage all KYC-related processes for FPI registration and maintain ongoing compliance.

- Compliance Recordkeeping: Maintain detailed and comprehensive records of all compliance-related activities.

- Coordination: Work closely with external entities such as Designated Depository Participants (DDPs), banks, and fund administrators, as well as with the internal compliance team.

- Risk Monitoring: Oversee risk management at both the entity and fund levels, adhering to fund documents, regulatory guidelines, and client mandates.

Experience & Qualifications:

- Relevant experience in FPI-related matters and custody business compliance is preferred.

- Strong knowledge of SEBI regulations and guidelines.

- Demonstrated experience in compliance monitoring, reporting, and risk management.

- Excellent coordination skills with external parties and internal stakeholders