Details of the Organization

SMC Private Wealth brings together a comprehensive knowledge base with over two decades of experience to design customized solutions. 

Details of the Job/Internship

SMC Private Wealth is hiring for the position of Legal Compliance Officer to join their office in New Delhi. 

Role and Responsibilities

1. SEBI PMS Compliance

• Ensure full compliance with SEBI (Portfolio Managers) Regulations, 2020.
• Prepare and file periodic disclosures and regulatory reports with SEBI.
• Monitor portfolio activities to ensure compliance with investment norms and client agreements.
• Coordinate with auditors and internal teams for audits, inspections, and compliance reviews.

2. GIFT City Stock Broking Compliance

• Ensure adherence to IFSCA and SEBI regulations applicable to IFSC-based broking entities.
• Manage regulatory filings, returns, and licensing documentation with IFSCA.
• Track regulatory updates and implement necessary changes in compliance processes.

3. GIFT City AIF Compliance

• Ensure compliance with IFSCA (Fund Management) Regulations for Alternative Investment Funds.
• Oversee investor onboarding procedures, fund disclosures, and filings.
• Maintain compliance registers and coordinate with fund administrators and legal advisors.

4. Legal Documentation & General Compliance

• Draft, review, and manage legal agreements including client contracts, vendor agreements, NDAs, and service contracts.
• Ensure all legal documentation is aligned with regulatory requirements and internal policies.
• Support legal risk assessments and interpret contractual terms for operational teams.

Eligibility

• In-depth knowledge of SEBI PMS Regulations, IFSCA frameworks, and relevant SEBI laws.
• Familiarity with GIFT City regulatory and operational requirements is a strong plus.
• Excellent written and verbal communication skills.
• Strong attention to detail with the ability to manage multiple compliance areas simultaneously.
• Ability to work independently and in coordination with cross-functional teams.

Salary/Stipend

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

Type of Opportunity

Fulltime

Country

India

Address

New Delhi, 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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