25 Nov 2022
Manager - Compliance (Individual Contributor)
FEMA, AIF compliance, Securities Law, SEBI, Investment, Company Secretary, Companies Act, Company Law, Due Dilligence
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