Compliance Officer

Compliance Officer

We are looking for a Compliance Officer for a leading mid- market investment bank with strong practices around M&A, PE, Capital Markets, Institutional Equities, Wealth Management, Insurance Broking, and Portfolio Management Services.

Responsibilities:

- Should be able to independently ensure Fund management compliances.

- Should keep abreast with the latest regulatory changes/ requirements related to SEZ Act, FME IFSCA guidelines, SEBI PMS and AIF regulations.

- Timely preparation & submission of reports with regulators & BOD.

- Maintenance of all required reports and data as per regulatory requirements.

- Drafting and vetting of agreements/ Policies & Procedures.

- Developing training material & conducting training sessions.

- Supporting new technology initiatives & participation in new project initiatives.

- Any other tasks/responsibilities as may be assigned from time to time.

Qualifications:

- Someone who is detail oriented, motivated individual who should be able to multitask in a fast-paced environment.

- Someone who is able to communicate well at all levels and directly engage with Board of Directors and Managing Director on all compliance related aspects.

- Should have good drafting and communication skills.