Role & responsibilities 1. Regulatory Compliance: Ensure organization's adherence to IFSCA, SEBI, RBI/FEMA, and SEZ guidelines and all applicable regulatory frameworks. 2. Liaison with Regulators: Liaison with regulators (IFSCA, SEZ or others) in regulatory filings, returns, and compliances. 3. Internal Policies: Develop and implement internal compliance policies and standard Operating procedures(SOPs) in alignment with regulatory requirements. Regularly review internal controls to ensure alignment with regulatory expectations. 4. Documentation and Reporting: Maintain accurate and up-to-date documentation related to compliance activities, including regulatory filings, reports, and records. Prepare and submit compliance reports to regulatory authorities as required. 5. Risk Assessment: Conduct periodic risk assessments to identify compliance risks and vulnerabilities. Develop and implement risk mitigation strategies to address identified risks effectively. 6. Training and Awareness: Provide training and guidance to employees on compliance matters, including IFSCA regulations, internal policies, and procedures. Foster a culture of compliance awareness and adherence throughout the organization 7. Investigations and Resolution: Investigate compliance breaches, incidents, and complaints. Take appropriate corrective and preventive actions to address issues and prevent recurrence. 8. Audit Support: Co-ordinate and support for audit as specified by authorities. Collaborate with auditors to provide necessary documentation and facilitate audit processes. 9. Other Tasks: Responsible for any other tasks assigned by the management from time to time. Preferred candidate profile
Role & responsibilities 1. Regulatory & Compliance: - Monitor end-to-end regulatory compliance with IFSCA, SEBI, RBI, and other applicable frameworks. - Oversee accurate and timely filing of all regulatory reports, audits, and disclosures. - Ensure all employees of the CMI adhere to relevant regulatory obligations and internal compliance standards. 2. Client Relationship & Suitability: - Oversee the onboarding process to ensure adherence to Know Your Client (KYC) norms and risk profiling. - Ensure that investment advice and product recommendations align with clients goals and regulatory standards. 3. Advisory Oversight: - Review investment strategies, financial plans, and product suitability matrices. 4. Operational Oversight: - Monitor day-to-day functioning of the GIFT City unit including fund flows, client onboarding, and transaction processing. - Identify areas for improvement and implement operational enhancements as needed. 5. Strategic & Operational Leadership: - Participate in business strategy discussions and contribute to the growth and operational efficiency of the advisory division. 6. Documentation & Record Maintenance: - Ensure all client interactions, advisory documentation, and financial planning records are maintained per IFSCAs retention policies. 7. Other Tasks: - Undertake any other responsibilities or tasks assigned by management, as required. Qualifications: A professional qualification or Post-graduate degree in finance, commerce, business management or related discipline from a recognized university/institution. Clear understanding of IFSCA rules & regulations and compliance requirements applicable to Investment Advisers. Minimum of 3 years of experience in similar roles within the financial services industry, preferably working with GIFT City, AIF/PMS regulations, and offshore structures. Excellent communication and interpersonal skills, with the ability to interact with internal stakeholders, regulatory authorities, and external auditors. Proven ability to work independently, manage multiple tasks, and prioritize workload effectively. Must meet the fit and proper person” criteria as specified by IFSCA.
Role & responsibilities 1. Regulatory Compliance: Ensure compliance with SEBI regulations, circulars, and guidelines pertaining to portfolio management services. Stay updated on regulatory changes and communicate implications to relevant stakeholders. 2. Internal Policies: Develop and implement internal compliance policies and procedures in alignment with regulatory requirements. Monitor compliance with internal policies and initiate corrective actions as needed. 3. Documentation and Reporting: Maintain accurate and up-to-date documentation related to compliance activities, including regulatory filings, reports, and records. Prepare and submit compliance reports to regulatory authorities as required. 4. Risk Assessment: Conduct periodic risk assessments to identify compliance risks and vulnerabilities. Develop and implement risk mitigation strategies to address identified risks effectively. 5. Training and Awareness: Provide training and guidance to employees on compliance matters, including SEBI regulations, internal policies, and procedures. Foster a culture of compliance awareness and adherence throughout the organization. 6. Investigations and Resolution: Investigate compliance breaches, incidents, and complaints. Take appropriate corrective and preventive actions to address issues and prevent recurrence. 7. Audit Support: Coordinate and support internal and external audits related to compliance matters. Collaborate with auditors to provide necessary documentation and facilitate audit processes. Preferred candidate profile Qualified Company Secretary (CS) with a valid membership from the Institute of Company Secretaries of India (ICSI). Clear understanding of SEBI regulations and compliance requirements applicable to portfolio management services. Successful completion of the NISM-Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification Examination. Minimum of 3 years of experience in compliance roles within the financial services industry, preferably in portfolio management services, AIF, Broking House, or Mutual Fund House. Strong analytical skills with the ability to assess regulatory requirements and mitigate compliance risks effectively. Excellent communication and interpersonal skills, with the ability to interact with internal stakeholders, regulatory authorities, and external auditors. Proven ability to work independently, manage multiple tasks, and prioritize workload effectively.