Details of the Organization

Emkay Global Financial Services Ltd is a leading financial services firm offering a broad range of investment and wealth management services. The company is looking for an experienced Compliance Manager to handle AIF and PMS-related regulatory and legal functions.

Details of the Job/Internship

Emkay Global Financial Services Ltd is hiring a Compliance Manager for its Mumbai office, targeting candidates with 3–5 years of experience in compliance and legal functions within the AIF/PMS domain.

Role and Responsibilities

• Ensure timely and accurate compliance with SEBI (AIF & PMS) regulations by preparing and submitting all mandatory filings—monthly, quarterly, annual, CTRs—and other disclosures to SEBI and relevant authorities including trustees, custodians, and RBI.
• Liaise with SEBI and other regulatory bodies on compliance-related matters, clarifications, and queries concerning AIF and PMS operations.
• Manage ongoing and event-based filings with the RBI and Income Tax authorities (e.g., FATCA/CRS, FIRMS).
• Prepare, review, and update the Private Placement Memorandum (PPM), Trust Deeds, KYC documents, Contribution Agreements, and Distribution Agreements, ensuring timely notifications to regulators.
• Coordinate with vendors, service providers, and industry forums on compliance matters related to AIF and PMS.
• Support and coordinate internal/statutory audits and SEBI inspections; effectively handle regulator and auditor interactions.
• Engage with external counsels for legal opinions, documentation reviews, and regulatory clarifications.
• Monitor and interpret changes in SEBI regulations, guidelines, and circulars, ensuring prompt internal implementation.
• Collaborate with product and sales teams to review and file regulatory documentation including Application Forms, Factsheets, Communications, and other product literature.
• Conduct and document committee meetings (e.g., Valuation Committee, Investment Management Committee), including preparation of agendas and maintaining minutes.
• Develop, implement, and oversee compliance policies, SOPs, and frameworks aligned with legal and regulatory requirements.
• Review marketing and sales material to ensure compliance with SEBI’s advertising and communication guidelines.
• Draft, vet, and manage legal agreements, contracts, policies, and internal documentation.
• Partner with internal stakeholders across departments to guide on regulatory and compliance matters.
• Maintain accurate, well-organized records of all compliance-related activities for audits and internal/external reviews.
• Collaborate closely with the Group Compliance Team on regulatory matters impacting other verticals.

Eligibility

• Graduate/Postgraduate degree, preferably in Law (LLB/LLM).
• NISM Series-III-A (Securities Intermediaries Compliance – Non-Fund) Certification is an added advantage.
• 3 to 5 years of relevant experience in compliance and legal roles within AIF/PMS or allied financial services.
• In-depth knowledge of SEBI AIF and PMS regulations is essential.

Salary/Stipend

Compensation details will be finalized during the interview process with the selected candidate.

Type of Opportunity

Fulltime

Country

India

Address

Mumbai, Maharashtra, India.

Application and Registration Details

After you submit your application, you will receive the next steps in the process via email. Please follow the instructions provided to complete your application.

Incase you find any issue with the application process, please contact: [email protected] 

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