Manager - Compliance - Broking & Asset Management - CS/LLB

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