Compliance Manager

Key Responsibilities / What You'll Do:

Regulatory Compliance:

Ensure compliance with SEBI regulations, including but not limited to broking activities, mutual fund distribution guidelines, and AIF operational requirements.

Maintain up-to-date knowledge of all applicable regulations, circulars, and guidelines issued by SEBI, AMFI, RBI, and other regulatory bodies.

Develop, update, and implement policies and procedures to align with regulatory requirements.

Risk Management:

Identify, assess, and mitigate compliance risks across all business activities. Monitor and report breaches or potential violations of compliance policies.

Monitoring and Reporting:

Prepare and submit reports, disclosures, and returns as required by SEBI and other regulatory bodies within stipulated timelines.

Liaise with regulatory authorities during audits, inspections, and investigations.

Training and Awareness:

Develop and deliver training programs for employees to promote awareness of compliance requirements and ethical practices.

Ensure that all staff members, including senior management, understand their responsibilities concerning compliance.

Client Onboarding and KYC:

Oversee Know Your Customer (KYC) processes for new and existing clients to ensure compliance with Anti-Money Laundering (AML) and Combating the Financing of Terrorism (CFT) regulations.

Monitor ongoing client transactions for suspicious activities and report them to the Financial Intelligence Unit (FIU-IND) as necessary.

Record Keeping and Documentation:

Maintain comprehensive and accurate records of compliance-related activities, including client documentation, audit findings, and correspondence with regulators. Ensure proper documentation of risk assessments, control measures, and compliance testing.

Experience & Qualifications:

Experience

Company Secretary with 4+ years of progressive experience

Thorough knowledge of SEBI regulations around broking and AIF entities Having worked in a SEBI regulated entity OBPP, Broking, AIF, MFD or RA

Personality traits

You have an eye for process improvements and are organized with attention to detail You thrive in a dynamic, fluid and unstructured environment because you are a self starter keen to learn and execute

You are adept at prioritization and project management with attentiveness to detail and consistent follow through

You are open to new ways of thinking and committed to acquiring new skills to retain a competitive advantage

Your key traits are integrity, credibility, and commitment