Recruitment Manager at SMB HR Solutions
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Manager - Compliance - Broking & Asset Management - CS/LLB (5-7 yrs)
Compliance Manager (Broking and Asset Management)
Looking forward for a suitable candidate for the position of Compliance Manager - BFSI Segment (Preferably Broking and Asset Management Division)
- Liaisoning and coordinating with the Regulator for IA, PMS, AIF compliance and queries.
- Co-ordinating with counsels for legal support, opinions, and clarifications
- Liaisoning with product and sales team on products and filings
- Preparation / Up-dation of Private Placement Memorandum and amendments including Trust Deed.
- Review of Application Form, literature, factsheets, communiques and communications
- Regulatory reporting - Filings monthly / Quarterly report reports, annual CTR
- Liaisoning for deal closure for unlisted equity transactions, Due Diligence submissions
- Monitoring of AML / FATCA compliance and its reporting
- Conducting and arranging Committee meetings - valuation committee, investment committee
- Liaisoning with Internal auditors and statutory auditors and effectively handling SEBI inspections.
- Compliance with SEBI procedures
- Preparation and filing of reports with SEBI as required.
- Maintenance of customer files as per SEBI records
- Co-ordinating audits with external vendors that need to be submitted to SEBI.
- Regular follow up on changes in SEBI regulations w.r.t compliances (if any)
- Preparation of required material for board meetings
Job Requirements :
- 5-7 years in an asset management MF/ AIF/PMS business.
Position : Manager to manage the day-to-day AIF/PMS/IA compliances
- Project management skills
- Excellent Communication skills
- Ability to Manage assignments independently
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