Hiring for Compliance Role – Mumbai

Job Description

Hiring for Compliance Role –  Mumbai

Eligibility:

• CS / LLB / Any professional qualification

• Minimum 5 years of experience in activities in the securities market or financial products including in asset management industry, specifically Alternative Investment Fund (AIF) or Mutual Fund (MF) compliances

• Preference will be given to candidates with exposure in AIF / MF compliance

Responsibilities:

1. Regulatory Compliance

   • Ensure compliance with SEBI regulations relating to AIF, PMS, and MF activities.

   • Assist in developing and implementing compliance frameworks and policies.

   • Review regulatory updates and ensure timely communication and adherence.

2. Client Coordination

   • Work closely with clients to handle SEBI AIF/PMS compliance requirements.

   • Address and resolve regulatory queries and provide compliance advisory support.

   • Assist clients in preparing documentation for regulatory submissions and approvals.

3. Audit & Inspections

   • Co-ordinate with regulators during SEBI inspections, audits, and reviews.

   • Prepare necessary compliance reports and ensure all findings are resolved promptly.

4. AML Compliance

   • Ensure compliance with Anti-Money Laundering (AML) regulations at the client level.

   • Conduct periodic AML reviews and support remediation processes.

5. Policy & Risk Management

   • Assist in drafting, reviewing, and implementing compliance policies and procedures.

   • Monitor compliance risks and ensure timely mitigation.

   • Provide inputs on new regulatory projects and ensure smooth execution.

6. Stakeholder Management

   • Work collaboratively with internal teams, regulators, auditors, and legal advisors.

   • Provide compliance training and updates to internal and client teams.

Skills & Competencies Required:

• Strong knowledge of SEBI regulations (AIF / PMS / MF).

• Excellent knowledge of securities laws, corporate laws, and compliance frameworks.

• Strong communication and drafting skills.

• Ability to handle multiple clients and manage time effectively.

• Analytical mindset with attention to detail.