Emkay - Senior Manager - Compliance/PMS & AIF (5-15 yrs)

Role & responsibilities:

1. 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.

2. Liasoning and coordinating with Regulator for PMS, AIF compliance and queries , Monitoring ongoing and event-based submissions with RBI and Income Tax (FATCA/CRS, FIRMS, etc)

3. 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.

4. Co-ordinate with various service providers/vendors/Forums for various compliance related matters pertaining to AIF and PMS.

5. 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.

6. Co-ordinating with counsels for legal support, opinions and clarifications

Monitor changes in SEBI regulations, directives, and circulars to ensure that the organisations practices and policies remain up-to-date and compliant.

7. 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.

8. 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 organizational compliance policies and procedures in line with applicable laws, regulations, and industry best practices.

9. 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.

10. Collaborate with internal departments to provide guidance on compliance-related matters.

11. Maintain comprehensive and accurate records of compliance activities and documentation, ensuring easy access for internal and external review.

12. Co-Jointly work with Group compliance team for compliances relevant to other verticals.

Preferred candidate profile:

- Min. 5 -10 years of experience handling the compliance, legal, functions in allied industries (AIF / PMS) having a working knowledge of SEBI AIF & PMS Regulations in particular.

- Excellent in MS Office (Word, PowerPoint & Excel)

- Excellent communication skills in English (oral and written)

Education:

- Graduate/Post Graduate with Degree in Law is preferred.

- NISM Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination will be an added advantage.