Compliance Manager

We are looking for an experienced Company Secretarial professional with 4-6 years of experience in the relevant field. Only candidates with work experience with a SEBI regulated entity need to apply.

What Youll Do

Regulatory Compliance:

• Ensure compliance with SEBI regulations, including but not limited to broking activities, mutual fund distribution guidelines, and AIF operational requirements.
• Maintain up-to-date knowledge of all applicable regulations, circulars, and guidelines issued by SEBI, AMFI, RBI, and other regulatory bodies.
• Develop, update, and implement policies and procedures to align with regulatory requirements.

Risk Management:

• Identify, assess, and mitigate compliance risks across all business activities.
• Monitor and report breaches or potential violations of compliance policies.

Monitoring and Reporting:

• Prepare and submit reports, disclosures, and returns as required by SEBI and other regulatory bodies within stipulated timelines.
• Liaise with regulatory authorities during audits, inspections, and investigations.

Training and Awareness:

• Develop and deliver training programs for employees to promote awareness of compliance requirements and ethical practices.
• Ensure that all staff members, including senior management, understand their responsibilities concerning compliance.

Client Onboarding and KYC:

• Oversee Know Your Customer (KYC) processes for new and existing clients to ensure compliance with Anti-Money Laundering (AML) and Combating the Financing of Terrorism (CFT) regulations.
• Monitor ongoing client transactions for suspicious activities and report them to the Financial Intelligence Unit (FIU-IND) as necessary.

Record Keeping and Documentation:

• Maintain comprehensive and accurate records of compliance-related activities, including client documentation, audit findings, and correspondence with regulators.
• Ensure proper documentation of risk assessments, control measures, and compliance testing.

Your Superpowers

Experience

• Company Secretary with 4+ years of progressive experience
• Thorough knowledge of SEBI regulations around broking and AIF entities
• Having worked in a SEBI regulated entity OBPP, Broking, AIF, MFD or RA

Personality traits

• You have an eye for process improvements and are organized with attention to detail
• You thrive in a dynamic, fluid and unstructured environment because you are a self starter keen to learn and execute
• You are adept at prioritization and project management with attentiveness to detail and consistent follow through
• You are open to new ways of thinking and committed to acquiring new skills to retain a competitive advantage
• Your key traits are integrity, credibility, and commitment