Regulatory and Compliance Manager

Experience:

The candidate should be a CGMA and have  a Master’s in commerce/ Master’s in business administration, with Professional certification in Regulatory and Compliances related to KYC/AML/FATC/CRS, and have 3-5 years of work experience in Operations with a Retail Bank or Private Equity/Wealth management company, in

Primary responsibilities include:

• Responsible for Investor onboarding and adherence to Accreditation, Know your Customer, Anti Money Laundering, FATF and CRS compliance, by ensuring completeness and verification of every investor’s KYC and Onboarding documents.
• Responsible for operational activities related to Investor’s record updates on Salesforce CRM and Website.
• Document management and repository of Investors KYCs and Subscription documents on company’s cloud platform and physical files.
• Work in close liaison with banks across different geographies, legal advisors, and third-party consultants to ensure adherence to RBI, FEMA and other regulatory compliance.
• Compute, Process & Reconcile distributions on Investments.
• Adherence to internal process, risk controls & statutory/regulatory requirements across all processes as per the laid out standard operating procedures.
• Oversee customer service for timely response to client queries related.
• Responsible for technology upgrades, reconciliation of all company bank accounts, client accounts, and Group companies accounts.
• Monthly reconciliation of data across all platforms of Tally, Salesforce, and website, for accurate investor reporting.

Behavioral Traits:

• Proven experience as a client service, operations, and compliance officer
• Strong Goal orientation
• Experience of working in Automated environment
• Strong analytical and presentation skills
• Knowledge of processes and controls,
• Excellent communication skills
• Integrity and professional ethics
• Attention to detail