24 Sep 2022
Asst. Manager - CS & Regulatory Compliance
SEBI, Company Secretary, AIF compliance, Company Law, AMC, Secretarial compliance, PMs operations, Companies Act
- Liaoning and co-ordinating with Regulator for IA, PMS, Wealth, AIF compliance and queries.
- Co-ordinating with counsels for legal support, opinions and clarifications.
- Liaoning with product and sales team on products and filings.
- Preparation / Up-dation of Private Placement Memorandum and amendments including Trust Deed
- Review of Application Form, literature, fact-sheets, communiques and communications
- Regulatory reporting - Filings monthly / Quarterly report reports, annual CTR
- Liasoning for deal closure for unlisted equity transactions, Due Diligence submissions
- Monitoring of AML / FATCA compliance and its reporting
- Conducting and arranging Committee meetings - valuation committee, investment committee
- Liasoning with Internal auditors and statutory auditors and effectively handling SEBI inspections
- Compliance with SEBI procedures (in assistance with external support)
- Preparation and filing of reports with SEBI as required
- Co-ordinating audits with external vendors that need to be submitted to SEBI
- Regular follow up on changes in SEBI regulations w.r.t compliances (if any)
- Working with Company Secretary to ensure Compliance with ROC procedures
- Strong understanding of accounting standards a must along with Taxation and Company law.
- Must have ability to interpret financial statements, annual reports and arrive at logical conclusion.
- In depth knowledge of taxation laws, SEBI rules and other laws impacting listed entities will be an additional advantage.
- Good spreadsheet skills and other MS office applications.
- Strong interpretation, problem solving and communication skills.
- Diligence, hard work, be proactive and willingness to stretch.
24 September 2022