Compliance Officer

Job Summary:

We are seeking a Compliance Officer particularly within the financial services or AIF & PMS sector. The candidate will be responsible for ensuring that all operations of the fund comply with regulatory requirements and internal policies.

Key Responsibilities:

• Monitor and ensure compliance with SEBI regulations, RBI guidelines, and other applicable laws governing AIFs.
• Develop, implement, and update compliance policies and procedures to reflect regulatory changes and industry best practices.
• Conduct regular compliance risk assessments and internal audits to identify potential risks and recommend corrective actions.
• Design and deliver compliance training programs for staff to foster a culture of compliance within the organization.
• Prepare accurate and timely compliance reports for management and regulatory authorities, ensuring timely submission and accuracy.
• Act as the primary liaison with regulatory bodies and internal stakeholders on compliance matters, addressing inquiries and issues as they arise.
• Utilize technology and data analytics to enhance compliance monitoring processes and reporting accuracy.

Qualifications:

• Master’s degree in Business Administration, Finance, Law, or a related field, or a Company Secretary qualification.
• Minimum of 5 years of experience in a compliance role, preferably in the AIF & PMS.
• Strong knowledge of regulatory frameworks applicable to AIFs & PMS and related compliance requirements.