Key Responsibilities:
1. C ompliance Management:
•Ensure strict compliance with SEBI regulations for PMS, AIF, and broking services.
•Stay updated on regulatory changes and proactively implement them within the organization.
•Prepare and file periodic reports, disclosures, and filings with SEBI, ROC, and other regulatory authorities.
•Handle investor grievances related to regulatory or operational issues.
2. Corporate Governance:
•Advise the Board of Directors and senior management on compliance-related matters.
•Draft and implement policies for risk management, insider trading, and data privacy.
•Maintain records of board meetings, committee meetings, and annual general meetings, ensuring compliance with the Companies Act, 2013.
3. PMS and AIF Compliances:
•Handle documentation for fund setup, registration, and approvals from SEBI for AIF and PMS.
•Monitor investment activities, ensure adherence to fund structure rules, and supervise reporting to clients and SEBI.
•Verify KYC, due diligence, and compliance checks for all transactions.
4. Broking Compliances:
•Manage SEBI and exchange-related compliances for broking activities, including margin rules, audit submissions, and operational guidelines.
•Conduct regular audits for AML (Anti-Money Laundering), client segregation, and data protection.
5. SEBI Liaison:
•Act as the primary point of contact for SEBI inspections, audits, and inquiries.
•Draft responses to show-cause notices, regulatory queries, and inspection reports.
6. R isk Management and Internal Control:
•Design and implement compliance monitoring systems to prevent breaches.
•Conduct training sessions for employees on regulatory frameworks and company policies.
7. Legal and Secretarial Matters:
•Draft agreements, resolutions, and legal documents for various transactions, including fund formation and broking operations.
•Ensure compliance with FEMA, FDI, and taxation laws applicable to the business.
Key Skills:
1. Expertise in SEBI Regulations: Deep understanding of SEBI (PMS) Regulations, SEBI (AIF) Regulations, and SEBI (Stockbrokers) Regulations.
2. Knowledge of Companies Act: Proficiency in handling corporate law and secretarial compliance.
3. Analytical Thinking: Ability to assess regulatory impacts on business operations and provide actionable insights.
4. Interpersonal Skills: Strong communication and collaboration skills for interaction with regulators, clients, and internal teams.
5. Detail Orientation: Ensuring accuracy in reporting, documentation, and filings.
•
Qualifications:
1. Educational Background:
Qualified Company Secretary (CS) from the Institute of Company Secretaries of India (ICSI).
2. Experience:
Minimum 5-8 years of experience in handling SEBI compliances, preferably in PMS, AIF, or broking firms.
Familiarity with fund structures, investment rules, and financial services operations.
3. Certifications (Preferred):
Certification in SEBI Regulations or Investment Compliance.
Additional qualifications like LLB or MBA in Finance can be an advantage.
Works closely with:
Fund Managers
Risk Management Team
Operations and Legal Departments
Job Type: Full-time
Pay: ?40,000.00 - ?70,000.00 per month
Benefits:
• Health insurance
Schedule:
• Fixed shift
• Monday to Friday
• Morning shift
Application Question(s):
• Have you handled broking compliance?
• PMS and AIF Registration?
Education:
• Bachelor's (Preferred)
Experience:
• total work: 1 year (Required)
License/Certification:
• CSEET (Preferred)
Work Location: In person
Expected Start Date: 01/02/2025
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