Associate Vice President (Compliance)

This role is for one of the Weekday's clients

Salary range: Rs 1500000 - Rs 2300000 (ie INR 15-23 LPA)

Min Experience: 5 years

JobType: full-time

The AVP – Compliance will be responsible for overseeing and managing compliance under SEBI AIF and PMS regulations. This includes end-to-end handling of regulatory filings, scheme registrations, investor onboarding, secretarial compliance, and implementation of regulatory updates, while ensuring adherence to statutory requirements and smooth coordination with stakeholders.

Qualifications

• Company Secretary (CS) is a must; additional qualification in Law (LLB) is preferred.

Work Experience

• 5–7 years of professional experience in Compliance within the Financial Services sector.

Key Responsibilities

• SEBI Compliance (AIF & PMS)
• Manage SEBI registration and scheme launch applications under AIF and PMS regulations, including responding to SEBI queries.
• Independently handle compliance requirements for SEBI AIF Regulations, ensuring timely quarterly, half-yearly, and annual filings with SEBI, Trustees, and Investors.
• Liaise with stakeholders such as Trustees, Auditors, Investors, RTAs, and Custodians to ensure seamless compliance processes.
• File applications and obtain registrations for LEI, CVLKRA, CAM KRA, and FIU-India for AIF schemes.
• Oversee investor onboarding and distributor/channel partner registrations.
• Support internal and external audits, as well as regulatory inspections.
• Implement compliance changes arising from regulatory updates, ensuring smooth business transition.
• Draft and update internal compliance policies and operational frameworks under AIF and PMS guidelines.
• Manage compliance related to change in Registered Office of AIF.
• Provide guidance to business heads on compliance requirements for transactions, KYC, trades, settlements, resolutions, and reporting.
• Ensure statutory compliance across all AIF schemes and PMS.
• Secretarial Compliance
• Independently conduct Board, Shareholder, and Committee meetings as required.
• Incorporate companies and draft Articles/Memorandum of Association.
• Prepare notices, agendas, and minutes for Board, Committee, and General Meetings.
• Handle pre- and post-meeting compliances, including statutory register updates.
• File ROC forms and oversee annual filings under the Companies Act, 2013 (e.g., XBRL, AOC-4, MGT-7).
• Draft Directors’ Reports and related annexures.
• Governance & Advisory
• Develop, draft, and implement compliance-related policies and manuals for smooth business operations.
• Ensure compliance with financial regulations, laws, and statutory requirements across business functions.
• Facilitate compliance-related regulatory audits and inspections.
• Work with external advisors, including law firms and compliance consultants, to address complex compliance issues.
• Oversee the development and use of specialized financial structures from a compliance perspective.

Talent Attributes

• Strong understanding of India’s regulatory and compliance framework across multiple laws and regulators.
• Familiarity with communication protocols with regulators, exchanges, and government authorities.
• Strong stakeholder management and relationship-building skills.
• Excellent communication, interpersonal, and problem-solving abilities.
• Detail-oriented with a focused and disciplined approach toward compliance.
• Adaptable and capable of handling diverse stakeholders, including management, auditors, regulators, and consultants.