Compliance Officer - PE Fund - CS & LLB (7-12 yrs)

Firm: PE Fund

Position: Compliance Officer

Qualification: CS & LLB

Experience: 7+ years

Location: Mumbai - Bandra

9 am to 6 pm

Monday to Friday work from office.

Broad Scope of Work

- Ensure complete compliance with all constituent documents of the Funds and regulatory requirements

- PPM Audit and other Audits: Liaising with the auditor / sharing requested information with the auditor, ensuring information accuracy, document formatting and timely completion

- Preparing / reviewing / receiving management clearance / completing accurate regulatory filings in a timely manner and sourcing back up documents: FATCA / CRS, FLA, Transaction related filing and reporting (pre and post), Form InVi, SEBI quarterly report, SEBI annual Compliance Test Report, PPM Audit reporting

- Ensuring timely investor / internal reporting and communication: scheduled and immediate

- Assisting in timely completion of transaction related conditions precedent / conditions subsequent on an as required basis

- Updating the team and ensuring SEBI compliances as per regulations and circulars (including new updates), internal policy compliances, compliance with Fund Documents, new investor clearances - implementation, preparing reports, monitoring, reporting and taking requisite action

- Ensuring timely World Check screening of investors, portfolio companies, UBOs, service providers and others as applicable and report / escalate / take action as required

- Reviewing all applicable regulatory portals such as SCORES, ODR etc. at frequent intervals and report / escalate / take action as required

- Reviewing applicable policies and updating them periodically

- Reviewing / updating applicable NDAs, Agreements and Engagement Letters

- Respond to contributor queries, emails and other requests sent to the Fund

- Respond to queries, emails and other requests / notices from Government and regulatory bodies, file responses / rectifications and ensure complete satisfactory closure

- Execute pledge process / prepare other process notes / forms required by distributors / contributors / others

- Ensure timely communication to Trustee / contributors on Fund matters / reporting as required

- Leading / providing support for new legal / compliance related initiatives as and when needed

- Providing support to the team as and when needed across activities