Compliance Mumbai Mumbai February 10, 2024 - February 10, 2025 Financial Services

Job Overview

• Office Location (Area) Mumbai
• Required Education Post Graduate, CS, LLB or equivalent
• Course Type Full Time
• Min Required Experience (Years) 8
• Max Required Experience (Years) 10

A. Legal Work
1. Handling all matters related with Legal affairs including arbitration, courts & reply on third
party notices
2. Initiating, drafting, updating & regular checking of Clients agreements / declarations /
submissions related with AIF, PMS & RIA Clients.
3. Initiating, drafting, updating & regular checking of Distributor agreements, custom
amendments thereof and closure of custom agreements in liaison with counter party
4. Drafting, vetting, negotiating and executing various commercial/business contracts and
agreements, NDA. B. Regulatory Work (SEBI)
1. Preparation and review of various policies under Portfolio Managers Regulations, AIF
Regulations, RIA Regulations, KYC Regulations, SAST Regulations
2. Preparation, updation and timely review of Compliance manual, Checklist, Tracking and
reporting.
3. Initiating, drafting, checking & Filing Monthly/Quarterly/Half Yearly/ Yearly submission to
SEBI.
4. Preparing & updating data on Company Website as per the requirement of SEBI/RBI/MCA.
5. Initiating, drafting, checking & submission of changes in Scheme document like PPM and
Disclosure Document.
6. Preparing & implementing requirement related with Cybersecurity coordination with
IT/Operational team
7. Coordination and Liaising with RTA, internal auditors, Legal consultants, Merchant Banker
for various matters & completing all related compliances.
8. Coordination and Liaising with Tax Consultants for periodical NRI related regulatory needs,
data preparation & submission (PFIC, K1)
9. Handling all mattes related with Insider Trading related regulatory work (e.g. Staff related
Quarterly Disclosures, Verification & making relevant reports)
10. Preparing & implementing requirement related with benchmarking of disclosure standards
of performance data with CRISIL/equivalent agency.
11. FATCA reporting \xe2\x80\x93 preparing file of US & NON US clients as per FATCA guidelines
12. Coordinating with Inspection officials as and when needed
13. Coordination with AIF Trustees for all matters related with AIF Compliances
14. Maintaining tracker for monitoring overall Compliance from RBI/MCA/SEBI circulars &
ensuring timely compliance by taking appropriate actions
15. Training Operation/onboarding/Sales team about all regulatory matters from time to time.
16. Application / Renewal of registration with SEBI
17. Communicating and liaisoning with regulators, auditors, consultants etc. C. RBI / PMLA Compliances
1. Proactive approach to Keep up to date with any regulatory or statutory changes and
policies related with our activities.
2. Timely Filing of RBI / FEMA / PMLS related returns/reports, if any D. Secretarial Work
1. Allotment of securities & filing of returns with ROC and issuance of share certificates, as
and when
2. Handling all matters related with Incorporation of Company, Trust, LLP etc. as and when
3. Preparing & finalizing Board & AGM agenda, draft resolutions, minutes, conveying
decisions, handling correspondence related to it.
4. Ensuring timely preparation and submission of all periodical & annual filling related
documents, returns and resolution with MCA.
5. Preparing resolutions & updating minutes & minutes book related with Board, AGM, SGM
meetings etc.
6. Maintaining all registers as required by Companies Act, 2013 in liaison with CS Consultant
7. Undertaking Annual exercise about Secretarial Compliance E. Misc. 1. Handling matters related with ESOPs, ESOP Policy
2. Assisting management for project specific work e.g. IFSC Required Candidate profile
1. 4 to 8 years\xe2\x80\x99 of recent experience with a Portfolio Manager, Alternative Investment Fund
2. Fluency in English language
3. Good drafting & articulation skill
4. Advanced knowledge of Word, Excel
5. Good network with other fellow professionals Expected Qualification:
Post Graduate, CS, LLB or equivalent