Chief Compliance Officer

SKS Enterpprises - Human Resource Planning and Management; Mumbai; On-site; INR 2,500,000 - 4,000,000; Full time

Job summary

SKS Enterpprises - Human Resource Planning and Management is seeking a senior compliance professional with 14+ years of Company Secretarial & Compliance experience in a listed company setup. You will lead regulatory filings, governance practices, and investor communications, ensuring adherence to SEBI regulations, the Companies Act, and stock exchange requirements across NBFC/Asset manager environments.

This role emphasizes establishing a strong compliance culture, dashboards, policies, and

Qualifications

• 14+ years of Company Secretarial & Compliance experience in a listed company setup.
• Strong expertise in SEBI regulations, Companies Act, Stock Exchange compliances & corporate governance.
• Hands-on experience in Board/Committee governance, regulatory filings, investor disclosures & listed-company compliance.

Responsibilities

• Acting as the designated compliance officer of all the AIFs and schemes
• Establishing the compliance culture within the organisation
• Regulatory advisory on fund structures and transactions
• Preparing and filing applications with SEBI, and coordinating with SEBI officials
• Reviewing documents pertaining to SEBI application, IMA, contribution agreements, product note and investor communication
• Reviewing and filing monthly/ quarterly reports with SEBI
• Preparation of communication to SEBI/ regulators for event-based filings and reviewing communication being sent to investors.
• Implementing circulars and group level/ other policies
• Ensuring compliance with PIT policy
• Maintaining and up-keeping regulatory records
• Preparing dashboards and trackers for regulatory reporting/ filings
• 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

Skills

Company Secretarial

Compliance

SEBI regulations

Companies Act

Stock Exchange

Corporate governance

Board governance

Regulatory filings

Investor disclosures

Job description

• 14+ years of Company Secretarial & Compliance experience in a listed company setup.
• Strong expertise in SEBI regulations, Companies Act, Stock Exchange compliances & corporate governance.
• Hands-on experience in Board/Committee governance, regulatory filings, investor disclosures & listed-company compliance.

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

• Acting as the designated compliance officer of all the AIFs and schemes
• Establishing the compliance culture within the organisation
• Regulatory advisory on fund structures and transactions
• Preparing and filing applications with SEBI, and coordinating with SEBI officials
• Reviewing documents pertaining to SEBI application, IMA, contribution agreements, product note and investor communication
• Reviewing and filing monthly/ quarterly reports with SEBI
• Preparation of communication to SEBI/ regulators for event-based filings and reviewing communication being sent to investors.
• Implementing circulars and group level/ other policies
• Ensuring compliance with PIT policy
• Maintaining and up-keeping regulatory records
• Preparing dashboards and trackers for regulatory reporting/ filings
• 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

OTHER DETAILS

Reporting To: Head of Secretarial and Compliance

Industry Target: experience in NBFC /Insurance AMC/ AIF/PMS/Stock Broking/Debenture Trustee /RTA industry preferred