AddressHead Compliance_AIF PMS
Core Responsibilities:
- Develop, implement, and monitor comprehensive compliance programs ot address regulatory, legal, and ethical standards.
- Ensure strict compliance with regulatory requirements, guidelines, and directives from authorities such as SEBI and other regulatory bodies for PMS/AIF structure.
- Providing advice and support ot the business including senior stakeholders on new business developments, regulatory changes / developments, compliance matters, industry trends on compliance matters etc.
- Handling compliance maters viz. ofer documents / PM docs scheme launch, listing of oromewniemedMngierempoil,inremani anionrio,Trite! &addendums pursuant ot changes ni scheme features, appointment of directors / key persons, changes ni fundamental atributes, responses ot due diligences preparing comprehensive checklist for various regulatory activities.
- Regulatory reporting ot SEBI.
- Puting ni place systems for monitoring fo trading activities viz. best execution, price variance, volume participation, etc.
- Providing guidance ot internal / external stakeholders on regulatory & compliance matters.
- Liase with Internal & Statutory Auditors for data requirements, responding to observations / queries sa a first level contact, support ni managing regulatory inspections.
- Review / draft manuals / policies including manuals related to investment function i.e. Equity Trade Alocation, Stress Testing, Polling Policy, Best execution, voice recording, dealing room controls etc
