Talent Profile - Compliance

Function : Compliance

Location : Mumbai

Qualifications: CS must; in addition, LLB will be preferred

Work Experience (highlight) : A professional with at least 8-12 years of experience in Compliance across Financial Services

Core Purpose of the Role :

- To handle SEBI registration and scheme launch applications under AIF and PMS regulations and solving the queries raised by SEBI

- To manage end-to-end compliance responsibilities for SEBI AIF Regulations, including independent handling of various quarterly, half-yearly, and annual filings with SEBI Trustees and Investors in strict adherence to regulatory requirements.

- To collaborated with various stakeholders of AIFs, such as Trustees, Auditors, Investors, RTAs, Custodians, and others, to ensure routine compliance and timely filing requirements

- To file application and obtaining registration of LEI/CVLKRA/CAM KRA /FIU -India for Scheme of AIF.

- To look into investor onboarding and channel partner/distributor registration.

- To assist in implementing changes required due to regulatory updates and liaise with various departments to ensure smooth transition and compliance

- To handle end to end Compliance under PMS regulation

- To supported internal/external audits and regulatory inspections for AIF and PMS

- To conducting Investment Committee Meeting if any.

- To draft and updated internal policies and operational frameworks under AIF and PMS guidelines

- To liaison with Legal team for vetting of legal document.

- To be responsible for managing and overseeing compliance activities pertaining to Portfolio Management Services (PMS) regulations

- To handle end to end Compliance related to Change in Registered Office of AIF

- To ensure full business related statutory compliance for all AIF schemes and PMS

- To advise business heads about compliance requirements for all / any transactions in the various schemes, with special focus on the rules & guidelines of SEBI and other regulators and to enforce the same through ensuring compliant processes and periodic team driven audits. This includes requirements related to KYC, trades, settlements, resolutions, and reporting.

- To be able to draft relevant yet easy to implement compliance related policies (finally leading to a compliance manual) which would include basic business processes for transacting the routine business of the company covering multiple regulations for the business.

- To ensure that all financial transactions are fully compliant with all relevant rules, laws & regulations prevalent in India from time to time.

- To facilitate compliance related regulatory audits.

- To evaluate & oversee the development / use of specialized financial structures from a compliance perspective as and when sought by business teams, and also deal with external legal advisors for the same. As and when required, to liase with & work closely with Law firms, Company Secretarial firms, and any such external / third parties that the group may engage with from time to time Secretarial Compliances for scheme

- To Independently conduct Board, Shareholders and Committee meeting of the Company, if any

- To handle various assignment related to Secretarial Work

- Incorporation of Companies, Drafting of Articles of Association and Memorandum of Association

- Preparation of Notice, Agenda & Minutes of Board and Committee Meetings and General Meetings

- Compliances undertaken for pre and post Board & General Meetings

- To updating of Statutory Registers, if any for schemes

- Filed various e-forms with respect to ROC Compliance if any for scheme

- Drafting of Directors' Report & its annexure, if any

- To overlook Annual Filing under Companies Act, 2013 (XBRL, AOC-4 & MGT-7)

Talent Attribute :

- Good understanding of the regulatory framework in financial businesses in India from a compliance perspective across multiple laws & regulators.

- Understanding of formal communication protocols with regulators, exchanges, & relevant government departments is essential

- Good relationship building skills

- Excellent communication skills, Interpersonal skills & adaptable.

- Focused approach towards completion & compliance.

- Capability to deal with a diverse set of stakeholders including management, leadership team, other employees, as well as auditors, exchanges, regulators, authorities and external consultants