Compliance Manager - FinTech

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