About the opportunity
Job Overview
<p><span style="font-family:'Times New Roman', serif;font-size:10.5pt;"> </span><span style="font-size:10.5pt;">The Compliance Officer is responsible in compliance and reporting as required under SEBI PMS regulation - Prepare and submit required monthly, quarterly, annual regulatory and compliance filings, reports, & disclosures to SEBI and other relevant authorities like trustees, custodians, RBI, etc.</span>Looking for candidates experienced in handling the Compliance, Legal, and Secretarial functions in allied industries and have a working knowledge of SEBI. Certified Company Secretary, Chartered Accountant or a law degree will be an added advantage. Candidate must possess excellent MS Office knowledge.<br></p>
<div><br></div> <p><span style="font-size:10.5pt;">1)<span style="font-size:7pt;font-family:'Times New Roman';"> </span></span><span style="font-size:10.5pt;">Ongoing compliance and reporting as required under SEBI PMS regulation - Prepare and submit required monthly, quarterly, annual regulatory and compliance filings, reports, & disclosures to SEBI and other relevant authorities like trustees, custodians, RBI, etc.</span></p>
<p><span style="font-size:10.5pt;">2)<span style="font-size:7pt;font-family:'Times New Roman';"> </span></span><span style="font-size:10.5pt;"> Oversee compliance with internal team members and external auditors on matters relating to MCA, General & Sales Tax, Income Tax, Labour Laws, Information Security, Trademark and all other matters that ensures our compliance with the law of land.</span></p>
<p><span style="font-size:10.5pt;">3)<span style="font-size:7pt;font-family:'Times New Roman';"> </span></span><span style="font-size:10.5pt;"> Maintain comprehensive and accurate records of compliance activities and documentation, ensuring easy access for internal and external review.</span></p>
<p><span style="font-size:10.5pt;">4)<span style="font-size:7pt;font-family:'Times New Roman';"> </span></span><span style="font-size:10.5pt;">Monitoring of AML/FATCA compliance and its timely reporting to authorities.</span></p>
<p><span style="font-size:10.5pt;">5)<span style="font-size:7pt;font-family:'Times New Roman';"> </span></span><span style="font-size:10.5pt;">Collaborate with internal team members to provide guidance on compliance-related matters.</span></p>
<p><span style="font-size:10.5pt;">6)<span style="font-size:7pt;font-family:'Times New Roman';"> </span></span><span style="font-size:10.5pt;">Drafting and vetting legal documents, policies, and standard operating procedures on a periodic basis.</span></p> <p>Ideal candidate must have at least 3 years experience as a compliance officer with any wealth management, broking, AMCs with excellent understanding about the various regulations of SEBI on PMS products.</p>