Role Requirements:

• Mandatory – CS
• Preferred – CS + LLB
• Minimum 15 years of experience in Asset Management and/ or PE firms post qualification

Job Responsibilities:

• Domain knowledge: Thorough understanding of SEBI Regulations on Alternative Investment Funds and Investment Advisory is essential.  Understanding of financial product distribution and regulations of SEZ & IFSCA would be added advantage.
• Monitoring of compliance: Make sure that firm’s compliance processes conform with regulatory requirements, including by establishing suitable policies and systems, providing training, and identifying risk areas so that independent compliance evaluations and monitoring may be carried out
• Advice: Provide senior management and staff with guidance on compliance procedures for all company endeavours/businesses.
• Escalation and Communication: To ensure that senior management and stakeholders are updated about regulatory changes or business challenges, maintain excellent working ties with them.
• Interaction with regulators: Maintain ties with SEBI and other industry bodies and see to it that there is open and fruitful dialogue.
• Showcasing excellence in scrutinizing and reviewing:

- Policies & Processes,

- Internal Controls,

- PMLA, KYC, Risk, Personal Dealing etc.

• Regulatory examinations and enquiries: Organize regulatory inspections and serve as the primary point of contact.
• Coordination of compliance efforts: Support group Compliance activities and programmes while coordinating with stakeholders.
• Secretarial and Board Matters: Oversee the Secretarial matters of the Company and provide necessary guidance to the Company Secretary.
• Risk Management:  Set up and oversee the risk management function for the company.
• Direction: Mentor team members in the daily compliance job.
• Compliance Culture: Build an Institutionalised culture towards regulatory compliance by effectively collaborating with key stakeholders and establishing strong systems and processes