Senior Manager - Compliance - BFSI

Sr. Manager

Position reporting to : Head Compliance - Asset Management

No. of Direct Reports : 0

Job Purpose :

- Primary responsibilities including managing the end-to-end issuances of the various debt instruments viz Market Linked Debentures (MLDs) and Non-Convertible Debentures (NCDs) ("Structured Products") issued by the group and adhering to business's compliance risk for issuance of Structured Products.

- The role is also expected to monitor compliance with regulatory norms pertaining to NCD issuance and redemption life cycle

Key Responsibilities:

Functional Responsibilities :

- Drafting & updating various disclosure documents, SID, KID, undertaking for the Structured Products and ensuring timely implementation of various regulatory changes

- Drafting & Finalizing of various Structured Product transaction documents, viz Debenture Trust Deed, Security documents

- Drafting of various Resolutions and Minutes and other related documents pertaining to the Debt instruments

- Designing systems / processes for carrying out various processes with-in the compliance framework

- Responsible for vetting and executing business agreements, like distributor agreement, NDAs etc. and ensuring contractual obligations.

- Handling debt listing queries with the Stock exchanges

- Compliance reporting pertaining to the issue and listing of the Structured Products regulated by SEBI, MCA, Stock Exchanges, Debenture Trustee Regulations and RBI

- Managing compliance risk

- Active Engagement in various tech related developments of the Company

- Prepare and submit compliance reports to regulatory authorities, as required.

- Maintain proper documentation of compliance activities, assessments, and corrective action

- Handholding operations and sales wrt compliance requirements