Compliance Associate

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