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25 Nov 2022


Manager - Compliance (Individual Contributor)


5-6 Years

FEMA, AIF compliance, Securities Law, SEBI, Investment, Company Secretary, Companies Act, Company Law, Due Dilligence

Job Description

Position: Manager - Compliance (Individual Contributor) 
Qualification: CS
Experience: 5 to 6 years
Location: Gift City (Gujarat International Finance Tec-City)

Duties and Responsibilities 
  • Handling overall compliance with various Securities Laws (PMS Regulations, AIF Regulations, FPI Regulations) 
  • Preparation of periodic reports for SEBI Compliances (Monthly, Half-yearly reporting etc.), 
  • Handling day to day compliances of each business segment and ensuring that all guidelines are implemented in respect of various activities. 
  • Keeping self-updated about the latest regulations and amendments issued by the Regulators. 
  • Providing the data for Internal, Statutory Audits 
  • Manage ongoing compliance requirement for international and domestic structures, assist in due diligence process for any M&A or Strategic tie-up etc. 
  • Ensuring the Compliance of AML & Employee trading policy & Code of conduct for Employees 
  • Provide compliance trainings to the employees as and when required 
  • Preparation of Investment Committee working papers and presentations 
  • Monitoring of Investment Risk Framework and highlight the deviations 
  • Preparation and circulation of Investment Risk MIS to the stakeholders 
  • Working Knowledge on Key Regulations: PMS, AIF III, FPI FEMA, Company Act etc 
  • Candidate should have relevant experience in Compliance function for the organization in the Financial Services industry. 
  • Experience in PMS and AIF industry in equities business is preferred 

25 November 2022


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