Manager - Compliance - BFSI - LLB/CS/CA (5-7 yrs)

We are looking forward for a suitable candidate for The position of Sr. Compliance Manager role.

Job Description:

- Liasoning and coordinating with the Regulator for IA, PMS, AIF compliance and queries.

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

- 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 for deal closure for unlisted equity transactions, Due Diligence submissions.

- Monitoring of AML / FATCA compliance and its reporting.

- Conducting and arranging Committee meetings valuation committee, investment committee.

- Liasoning with Internal auditors and statutory auditors and effectively handling SEBI inspections.

- Compliance with SEBI procedures.

- Preparation and filing of reports with SEBI as required.

- Maintenance of customer files as per SEBI records.

- Co-ordinating audits with external vendors that need to be submitted to SEBI.

- Regular follow up on changes in SEBI regulations w.r.t compliances (if any).

- Preparation of required material for board meetings.

Job Requirements:

- LLB/CS/CA

- 5-7 years in an asset management MF/ AIF/PMS business.

- Position: Manager to manage the day-to-day AIF/PMS/IA compliances.

- Project management skills.

- Excellent Communication skills.

- Ability to Manage assignments independently.