Compliance Associate

Sameeksha Capital; Ahmedabad District; On-site; INR 800,000 - 1,200,000; Full time

Job summary

Sameeksha Capital is seeking a diligent Compliance professional in India to lead PMS and AIF compliance, liaising with SEBI and ROC as required.

You will support client onboarding and lifecycle, drive audits with an external firm, and manage insider trading controls. You may assist in drafting, vetting and analyzing agreements, and you will review marketing materials for regulatory alignment.

Qualifications

• Solution oriented mindset.
• Strong command of English, both spoken and written.
• Process driven approach to solving problems.
• Typing speed of 50 WPM and proficiency in advanced spreadsheet features.

Responsibilities

• Oversee compliance for PMS and AIF operations and ROC compliances.
• Develop and oversee a compliance framework with operations team.
• Assist with client onboarding and lifecycle processes.
• Interact with SEBI and other regulatory authorities as required (ROC, FIU-IND).
• Manage compliance reporting with SEBI and other authorities.
• Coordinate internal audits with an external audit firm and implement audit recommendations.
• Oversee insider trading related framework and compliance.
• Assist in secretarial matters, including drafting/vetting/analysing agreements.
• Review and approve marketing materials.

Skills

Solution oriented mindset

English proficiency

Process driven

Typing speed 50 WPM

Advanced spreadsheet features

Job description

Responsibilities

• Compliance oversight of PMS and AIF operations of Sameeksha Capital, including any ROC compliances
• Work closely with the operations team and develop/oversee compliance framework for the business
• Operations support for the client onboarding and client lifecycle
• Regulatory interaction with SEBI and other regulatory authorities such as ROC, FIU-IND as and when necessary
• Managing compliance reporting with SEBI and other relevant authorities
• Drive Internal Audits with an independent external audit firm and ensuring implementation of outcome of such reports
• Drive Insider trading related framework and compliance
• Support under secretarial matters, as required. This person may help in Drafting/ Preparing/ Vetting / Analyzing various agreements
• Compliance review and approvals of marketing materials

Functional and Behavioural Knowledge

• Solution oriented mindset
• Have a good command of spoken and written English
• Process driven approach to solving problems
• Have excellent Computer Skills (already have or improve typing speed to 50 WPM)
• Have or inclination to develop proficiency in advanced spreadsheet features