Compliance Officer

About our client:

Our client is a leading midmarket investment bank with strong practices around M&A, PE, Capital Markets, Institutional Equities, Wealth Management, Insurance Broking, and Portfolio Management Services.

Responsibilities:

- Ability to liaise and interact with regulators.

- Ability to manage Audits.

- Ensuring 100% compliance across all existing and new products that the company manages.

- Ensuring end-to-end compliance with the provisions of all regulatory requirements i.e SEBI, IFSCA, SEZ Act, Companies Act, FEMA etc.

- Should be aware of the latest regulatory requirements on all products.

- Support and guide in the implementation of new products as required by the company.

- Developing training material and doing training session.

- Supporting new technology initiatives and participation in new projects.

- Ensure all regulatory changes/ updates as given by the regulators are managed and installed in the system.

- Drafting and vetting of legal agreements/ contracts/ MOU/ notices to support the business and products team.

- Work on any other compliance matters as assigned from time to time.

- Ability to communicate well at all levels and directly engage with the Board of Directors and Managing Director on all compliance related aspects.

Requirements:

- Graduation/CA/MBA

- Company Secretary is good to have but not mandatory.

- Minimum 3 + years of relevant experience

- Experience in PMS compliance / AIF Compliance / Gift AIF and Distribution compliance will be preferred. (prior exp in any 2 compliances out 3 mentioned would be preferable)