Our client is a Fintech Firm, founded in Jun'20. It is a SEBI-regulated investment platform for High-Yield Investments that provide fixed returns of up to 14%. Investments without the ups and downs of the stock market. Position - Compliance Manager Location - Gurgaon Exp - 3 - 5 Years post CS (Company Secretary) CANDIDATES WITH STRONG EXPERIENCE IN COMPLIANCE & REGULATORY FROM A STOCK BROKING COMPANY NEED TO APPLY. Key Responsibilities: 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. 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. Candidate Profile: - Company Secretary with 3 - 5 years of progressive experience - Thorough knowledge of SEBI regulations around broking and AIF entities - Have worked in a SEBI regulated entity OBPP, Broking, AIF, MFD or RA

Gurgaon/Gurugram

Compliance Manager - FinTech 

Job Description for Compliance Manager - FinTech  in Ikya Human Capital in  Gurgaon/Gurugram for (3-5) years of experience. Apply Now!