Compliance Officer - Bank (1-6 yrs)

Company Profile: A9 Finsight Pvt. Ltd. is an AMC. It is an investment manager of an AIF (Category III).

Job Profile:

Job Profile: Compliance Officer

Responsibilities:

1) Initiate, drive process rigor and accuracy, execute and manage compliance under Corporate & Other Laws.

2) Work with different stakeholders within and outside the business to identify and execute key opportunities for the business to meet regulatory compliance goals.

3) Work with various different stakeholders relating to AIF for operations.

4) Co-ordinate with RTA for allotment of units to investors.

5) Co-ordinate with RTA at the time of allotment and on monthly basis for month end NAV, etc.

6) Compliances and liaising with the Ministry of Corporate Affairs, Registrar of Companies, the Reserve Bank of India, Securities and Exchange Board of India, and other statutory authorities. Convening Board Meetings and General Meetings, preparing agenda and minutes.

7) Implementing of Corporate Governance processes.

8) Obtaining valuation report of the unlisted investments made by the fund on a periodic basis as required by SEBI.

9) To perform periodic compliances as required by Trustees and SEBI.

10) To engage with intermediaries for taking PPM audit/ changes in PPM.

11) To keep a vigilance on trading activity of the employees and directors by obtaining periodic stock transactions entered by them.

12) Adhere to all rules and regulation concerning the company practices and procedures.

13) Supporting compliance with all statutory requirements and working with internal and external agencies to carry out legal compliance audits.

14) Guide other functional members on the Company Law on issues related to document management, litigation holds, litigation strategy, and document management process improvements.

15) Anticipate and drive solutions for a diverse range of legal and business issues.

16) Advise Board of Directors on key managerial and corporate governance issues Implement policies and procedures for the company.

17) Drive simplification.

18) Make requisite regulatory filings.

19) Manage the process and filings for PF and other retiral Trusts, CSR and POSH Committees.

Working Days - Time: 6 days