Posted By
Job Views:
207
207
Applications: 40
Recruiter Actions: 12
Posted in
Banking & Finance
Job Code
1605176
Head - Compliance - Capital Markets
Posted 2 months ago
Posted 2 months ago
About:
- Team Leadership & Development: Lead, mentor, and develop a team of compliance professionals. Plan, prioritize, and align team objectives with departmental goals and ensure ongoing skill development.
- Portfolio & Trading Desk Compliance: Ensure compliance with investment mandates and trading desk procedures (trade allocation, errors, best execution, etc.) across funds.
- Stakeholder & Relationship Management: Partner with internal teams including Senior Managers from the investment team, legal, regulatory compliance, risk, operations, and accounting. Act as a trusted advisor and provide expert compliance guidance across functions.
- Regulatory Compliance & Reporting: Oversee all regulatory filings and internal/external compliance certifications. Ensure timely and accurate reporting to SEBI, RBI, AMC Trustee Boards, and other regulatory bodies.
- Compliance Systems & Process Oversight: Manage compliance operations on internal platforms including new account setup, rule implementation, and pre/post trade compliance monitoring.
General Points:
- Ability to liaise and interact with regulators.
- Ability to manage Audits.
- Ensuring 100% compliance across all existing and new products that the company manages.
- Ensuring end-to-end compliance with the provisions of all regulatory requirements i.e SEBI, IFSCA, Companies Act, FEMA etc.
- Should be aware of the latest regulatory requirements on all products.
- Support and guide in the implementation of new products as required by the company.
- Developing training material and doing training session.
- Supporting new technology initiatives and participation in new projects.
- Ensure all regulatory changes/ updates as given by the regulators are managed and installed in the system.
- Drafting and vetting of legal agreements/ contracts/ MOU/ notices to support the business and products team.
- Work on any other compliance matters as assigned from time to time.
- Ability to communicate well at all levels and directly engage with the Board of Directors and Managing Director on all compliance related aspects.
Role Requirement
- Graduation + CA / LLB /CS
- Company Secretary is good to have but not mandatory.
- Minimum 12 + years of relevant experience
- Experience in PMS compliance / AIF Compliance / Gift AIF and Distribution compliance will be preferred
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Posted By
Job Views:
207
207
Applications: 40
Recruiter Actions: 12
Posted in
Banking & Finance
Job Code
1605176
