- Workplace
- Onsite
- Type
- Full-time
- Department
- Legal
- Seniority
- Manager
- Experience
- 8+ years
- Source
- RecruiterFlow
Description
MANDATORY REQUIREMENTS
• 8+ years of Compliance & Governance experience, preferably within AIF / AMC / PMS / NBFC / Insurance / Capital Markets.
• Strong hands-on experience in SEBI/IFSCA compliance, AIF/PMS/GIFT City regulatory filings, SEBI applications, audits, and regulatory queries.
• Proven ability to manage stakeholders, review transaction/product documentation, implement compliance policies & controls, and provide regulatory advisory.
ABOUT THE CLIENT
Our client is a leading Indian alternative asset manager focused on private credit, real assets and other private-market investment strategies.
JOB ROLES & RESPONSIBILITIES
• Managing compliance coverage for AIFs/PMS/Gift City
• Applications with SEBI, and coordinating with SEBI officials for product approvals
• Reviewing documents pertaining to SEBI application, IMA, contribution agreements, product note and investor communication
• Overseeing filings and submission
• Responding to and resolving queries raised by business teams on transactions structures
• Ensuring compliance with PIT policy
• Maintaining and upkeeping regulatory records
• Supporting in development and implementation of policies, procedures, other documents and establishment and maintenance of processes and controls governing business activities, such as manuals, codes of conduct, practice notes, and the likes, to comply with applicable laws, rules and regulations.
• Assessing the adequacy of compliance policies, procedures and guidelines, resolving any identified deficiencies, and formulating proposals for revisions or amendments
• Providing comprehensive support during regulatory audits, inspection and queries
• Assisting in statutory, internal and special audits by collating data, and conducting preliminary review
• Assisting in various system developments and automation initiatives
QUALIFICATION & EXPERIENCE
• 8+ years of experience and working knowledge in compliance and governance function
• Experience in AIF/ AMC preferred
• Ability to manage stakeholders, collaborate across teams and build relationships
• Ability to work in a high volume, fast-paced environment with shifting priorities
• Demonstrated problem-solving and solution-orientation with limited directions
• Articulate, and able to express thoughts clearly - in oral as well as written
OTHER DETAILS
Reporting To: Compliance Officer
Industry Target: experience in NBFC /Insurance AMC/ AIF/PMS/Stock Broking/Debenture Trustee /RTA industry preferred)
Work Model Arrangement: Onsite
