Compliance Associate

Job highlights

• Job Type: Full time. Job Opening Name: Compliance Associate. City: Ahmedabad. State: Gujarat. Country: India. Key Roles and Responsibilities
• Demonstrates independence. Have a good command of spoken and written English.

Job Details

• Job Type: Full time
• Job Opening Name: Compliance Associate
• City: Ahmedabad
• State: Gujarat
• Country: India

Key Roles and 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

• Great Team player
• Solution oriented mindset
• Demonstrates independence
• 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

Disclaimer: This job posting has been aggregated from external source. Role details, content, and availability are subject to change. Applicants are advised to confirm the latest information directly on the company website before applying.