Senior Compliance Officer-(5+ years of experience in Mutual Fund Industry)

2 months ago

Gandhinagar, India Talent Corner HR Services Pvt Ltd Full time

Compliance Officer :

We are hiring for one of our Client who is in to Mutual Fund Industry and looking for a Compliance Officer with 5+ years of relevant secretarial experience, preferably in a financial sector company.


Job Description :

●Ensure compliance with SEBI AIF regulations and spearhead compliance and risk management activities at the GIFT City branch office.

●Ensure identification of compliance requirements for IFSC & AIF compliances.

●Develop infrastructure, systems, and processes to meet compliance requirements for the GIFT City branch.

●Stay informed about the latest regulatory changes and requirements, particularly those related to the SEZ Act and SEBI AIF IFSC Guidelines.

●Prepare, analyze and Vet various reports, quarterly compliance reports for presentation to the Board and regulators.

●Maintain all statutory registers and secretarial records.

●Assist in organizing and maintaining documents related to AIF investments in GIFT City, ensuring accurate reporting to the Trustee, contributors, and regulators.

●Manage statutory filings and submissions for AIF in GIFT City, specifically overseeing the renewal of Registration cum Membership Certificate, coordinating lease renewals, Service Export Reporting, Monthly Report of Investment & Employment, Annual Performance Report, and ensuring the validity of Bond Cum Legal Undertaking.

●Draft and vet Scheme Information Document, Statement of Additional Information, and other statutory documents, including documents pertaining to PMS/AIF business.

●Drafting regulatory or business policies and procedures

●Monitor and report compliances relating to investors’ servicing to statutory authorities.

●Interact and Liaise with the Statutory Audit, SEBI Audit, Internal Audit, etc and ensure any shortcomings/discrepancies are highlighted. Coordinate regulatory inspection.

●Legal Drafting and vetting of business agreements


Experience :

●Possess relevant secretarial experience, preferably in a financial sector company.

●Conduct research on SEBI AIF Regulations, FEMA, and investment regulations across various sectors, industries, and jurisdictions; ideally, have experience dealing with foreign law firms in this context.

●Demonstrate dynamism and teamwork, coupled with the ability to independently manage assigned tasks.

●Exhibit strong oral, written communication, and interpersonal skills.

●Display ambition, passion, and the ability to perform effectively under pressure.

●Sound knowledge of the various other regulations like Companies Act, PMLA, SAST, KYC, Insider Trading etc.


Qualifications :

●Preferably with NISM Securities Intermediaries Compliance Certificate.

●Experience working in a fund management entity (Preferred)

●Hold qualification as a member of the Institute of Company Secretaries of India (ICSI) with relevant experience.


Job Location :

Gift City, Gandhinagar


Interested candidates can send resume on

anita.kulkarni@talentcorner.in

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