Job Description

SEBI Compliance:

Monitor and interpret SEBI regulations and guidelines to ensure that the organization and its fully owned subsidiary comply with all applicable rules and requirements. Develop and implement compliance policies, procedures, and controls specific to SEBI registered investment advisory services.Risk Assessment:

Conduct regular risk assessments to identify potential compliance risks and recommend corrective actions as necessary.

Advise senior management on emerging compliance issues and potential risks.Documentation and Reporting:

Maintain accurate and up-to-date records of all compliance-related activities and documentation.

Prepare and submit reports to SEBI as required by regulatory authorities.Training and Education:

Provide training to staff members on SEBI compliance policies and procedures.

Foster a culture of compliance and ethical behaviour throughout the organization.Audits and Investigations:

Coordinate and manage compliance audits, both internal and external, and respond to audit findings.

Investigate and address any compliance violations or breaches.Compliance Monitoring:

Continuously monitor and assess compliance with SEBI regulations and promptly address any compliance issues.

Stay updated on changes in SEBI regulations and ensure timely implementation of necessary changes.

The Successful Applicant

● Bachelor's degree in finance, law, or a related field; a master's degree or relevant certification (e.g., CFA, CFP, or similar) is a plus.

● Minimum of 10 years of experience in a compliance role within the financial services industry, with a focus on SEBI registered investment advisory compliance.

● Deep knowledge of SEBI regulations and guidelines pertaining to investment advisory services.

● Strong analytical, problem-solving, and communication skills.

● Proven ability to work effectively in a fast-paced and dynamic environment.

● Exceptional attention to detail and organizational skills.