Compliance Manager - AIF/PMS/Asset Reconstruction Business (10-15 yrs)

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.

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 - 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.

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

Secretarial Work:

1. Allotment of securities & filing of returns with ROC and issuance of share certificates, as and when

Expected Qualification: Post Graduate, CS, LLB or equivalent