Compliance Manager - Regulatory Audit - SEBI Filing

Experience : 6+yrs.

Location : Gurgaon Sector 53.

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.

Record 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.

Experience & Qualifications:

Experience:

- Company Secretary with 4+ years of progressive experience.

- Thorough knowledge of SEBI regulations around broking and AIF entities.

- Having worked in a SEBI regulated entity - OBPP, Broking, AIF, MFD or RA.