Compliance Officer

Job Description:

Reporting Relationship: Chief Operating Officer

- Purpose of the Job - Ensure compliance with SEBI and statutory requirements for AIF and PMS operations.

- Monitor regulatory changes, maintain internal controls, and manage records to safeguard the firm's reputation.

Key Responsibilities - Regulatory Compliance & Risk Management:

- Enforce SEBI (PMS and AIF) Regulations and relevant legal frameworks.

- Monitor regulatory developments and adjust operations accordingly.

- Develop and implement internal controls and compliance policies.

- Coordinate with auditors to ensure financial and operational adherence.

Statutory & Secretarial Support:

- Maintain statutory records including registers and board resolutions.

- Support board meetings, AGMs, and shareholder meetings with preparation of agendas, notices, and minutes.

- Ensure timely filings with SEBI, Registrar of Companies, and other bodies.

- Investor Communication & Reporting:

- Communicate transparently with investors via periodic reports, NAV disclosures, and performance updates.

- Manage investor grievances and ensure compliance with regulatory disclosures.

- Legal & Advisory Functions:

- Provide legal compliance advice for launching AIF and PMS products.

- Assist in drafting, reviewing, and negotiating contracts and fund documents.

- Support management in mitigating legal risks related to portfolio and investment activities.

Role Specific Competencies:

- Deep understanding of SEBI regulations for AIF and PMS, and familiarity with relevant provisions of the Companies Act, 2013.

- Proficiency in establishing, monitoring, and enhancing compliance frameworks and internal controls.

- Knowledge of statutory secretarial functions and corporate governance best practices.

- Ability to coordinate cross-functional teams to manage audits, regulatory filings, and legal documentation.

Behavioral Competencies:

- Strong analytical and risk assessment capabilities.

- Excellent organizational skills and attention to detail.

- Effective communication skills with the ability to liaise with regulatory bodies, board members, and investors.

- A professional qualification in law, finance, or a related field (e.g., LLB, CA, CS) with a focus on compliance within an Asset Management Company, PMS, or AIF industry