Compliance Officer en None

This role is for one of the Weekday's clients

Salary range: Rs 1200000 - Rs 2000000 (ie INR 12-20 LPA)

Min Experience: 5 years

Location: Mumbai

JobType: full-time

We are seeking an experienced professional to manage and oversee compliance activities under SEBI AIF and PMS Regulations. The ideal candidate will be responsible for ensuring end-to-end regulatory adherence, handling SEBI interactions, and maintaining seamless coordination across stakeholders to ensure smooth compliance operations.

Requirements

Key Responsibilities

• Manage SEBI registration and scheme launch applications under AIF and PMS regulations, and resolve queries raised by SEBI.
• Handle complete compliance management under SEBI AIF Regulations, including quarterly, half-yearly, and annual filings with SEBI, Trustees, and Investors.
• Collaborate with stakeholders such as Trustees, Auditors, Investors, RTAs, Custodians, and others to ensure timely compliance and reporting.
• File applications and obtain registrations for LEI, CVLKRA, CAM KRA, FIU-India, and other related schemes.
• Oversee investor onboarding and channel partner/distributor registration processes.
• Implement changes as per regulatory updates in coordination with internal departments.
• Manage full compliance for Portfolio Management Services (PMS) operations.
• Support internal and external audits and facilitate regulatory inspections for AIF and PMS.
• Conduct and document Investment Committee Meetings as required.
• Draft, update, and implement internal policies and operational frameworks in line with AIF and PMS guidelines.
• Coordinate with the Legal team for vetting and reviewing legal documents.
• Handle compliance matters related to change in registered office and other statutory updates.
• Ensure regulatory compliance across all AIF schemes and PMS activities.
• Advise business leaders on compliance implications of transactions, focusing on SEBI and other regulatory requirements, including KYC, trades, settlements, resolutions, and reporting.
• Draft and maintain compliance manuals and business process policies covering multiple regulatory aspects.
• Facilitate regulatory audits and ensure adherence to all financial and legal obligations.
• Oversee compliance in the development and use of specialized financial structures, and coordinate with external advisors, law firms, and company secretarial firms.
• Independently conduct Board, Shareholder, and Committee meetings, including drafting of notices, agendas, and minutes.
• Manage company incorporation processes and drafting of Articles and Memorandum of Association.

Skills:
AIF & PMS Regulations · SEBI Compliance · Regulatory Filings · Legal Liaison · Secretarial Compliance · Audit Coordination · Policy Drafting · Investor Onboarding