Upgrade to Pro Member
Recruitment Manager at SMB HR Solutions
Views:231 Applications:55 Rec. Actions:Recruiter Actions:17
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)
JD :
- 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 :
- LLB/CS
- 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
This job opening was posted long time back. It may not be active. Nor was it removed by the recruiter. Please use your discretion.
2-Step Verification - Action Required
We've updated our security procedures!
Your privacy and security are important to us. We've recently updated our security measures to make iimjobs.com safer and more secure for you. This change requires you to reset your password.
Please reset your password using the link sent to your email. If you did not receive any email, please check your spam folder..
