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27 Apr 2024

qNtI

Compliance Officer, 3 to 8 years in Mumbai

Company Logo Monarch Networth Capital

Mumbai

6-8 Years

Company Secretary, Compliance, Companies Act, SEBI

Job Description

Position: Compliance Officer
Qualification: CS
Experience: 3 to 8 years
Location: Mumbai

Job description

  • The primary responsibility is to ensure that the merchant banker/AIF adheres to all SEBI regulations, guidelines, and circulars/Master circulars;
  • To staying updated on regulatory changes, interpreting their implications for the business, and implementing necessary actions to ensure compliance;
  • To Develop, review, and update compliance policies, procedures, and manuals in line with SEBI regulations and industry best practices and also implement at root level;
  • To Prepare and submit periodic compliance reports to SEBI as required by Merchant Baking and AIF regulations;
  • To Maintain comprehensive records of compliance activities, including audits, investigations, and corrective actions taken;
  • To identify potential compliance risks and develops strategies to mitigate them;
  • To monitoring activities within the organization to detect any compliance breaches and taking corrective actions when necessary;
  • Serve as the primary point of contact for regulatory inquiries, inspections, and audits conducted by SEBI. Coordinate responses to regulatory requests and facilitate inspections or examinations as needed;
  • Develop and deliver compliance training programs for employees to ensure awareness of regulatory requirements and internal policies. Provide ongoing guidance and support to employees on compliance-related matters;
  • Drafting and Vetting Business Agreements: Review, draft, and vet various business agreements, including client engagement letters, confidentiality agreements, vendor contracts, and other legal documents. Ensure that agreements comply with regulatory requirements and internal policies. Collaborate with legal counsel as needed.

27 April 2024

qNtI

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