Compliance Officer - PMS_AIF

Job Description

We are looking for an experienced Company Secretary who will serve as a key support to the management team and ensure the organizations full compliance with regulatory frameworks In this role, you will be instrumental in overseeing our PMS, AIF, and Research Analyst compliance functions, working closely with senior leadership to ensure the company operates within all applicable SEBI regulations Youll play a critical part in maintaining high standards of corporate governance, ensuring timely regulatory fi lings, and offering legal and strategic advice when needed Min. experience: more than 2 years in this domain Qualification : Qualified Company Secretary Roles and Responsibilities: Establishing and monitoring the compliance framework under the SEBI (Portfolio Managers) Regulations, 2020 pertaining to DPMS, NDPMS & Advisory under PMS. Establishing and monitoring the compliance framework under the SEBI (Alternative Investment Fund) Regulations, 2012 for a Category III open ended AIF. Establishing and monitoring the compliance framework under the SEBI (Research Analysts) Regulations, 2014 Overseeing and complying with other applicable SEBI regulations like SEBI Insider Trading Regulations for building an effective compliance culture across numerous licenses within the organisation. Co-ordination with the Board of Directors, management, registrar, transfer agents (RTA), stock exchanges and shareholders. Maintenance of all statutory records, dealings, commercials, etc. adhering to regulatory requirements. Proactively track policies, regulatory, or statutory changes and build appropriate compliance processes and seek timely approvals and uploading of the same on the Companys website. Provide legal, fi nancial and strategic advice as required and liaise with external regulators and advisers such as lawyers and auditors. Maintenance of compliance calendar and preparation of MIS for regulatory compliances for Board Reporting.

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