Assistant Manager - Compliance - BFSI

About the Position:

Location: Mumbai

Position: Assistant Manager - Compliance

Qualification: Company Secretary along with LLB (preferred).

Required Skills and Experience:

- Having 3 Years' experience in the financial sector/ securities market industry.

- SEBI - Alternative Investment Fund/Portfolio Management Services Compliances

- KYC and Anti Money Laundering Compliance

- Insider Trading Monitoring

- Drafting of policies and procedures

- ROC and Secretarial compliances

- SEZ Compliances

- Legal drafting and vetting

Job Role and Responsibility:

1. Undertaking Research and preparation of Compliance Manuals, Compliance Processes etc.

2. Undertaking Compliances of SEBI and RBI with respect to AIF/PMS/Broking/NBFC/RIA

3. ROC and Secretarial Compliances

4. Drafting Policies in terms of applicable Regulations

5. Managing Compliance Management System and MIS related to the system

6. Undertaking PMLA and KYC Compliance

7. Undertaking Foreign/Overseas Investment compliances

8. Reviewing Subscription Docs, Advertising material, Application Forms related to AIF/PMS business

#AIF #PMS #Broking #NBFC #RIA