Compliance Officer

3 months ago

Mumbai, India Grobiz SME Opportunities Fund Full time

Job Profile : Compliance Officer

Company Profile : Grobiz Professionals LLP is an Investment Manager of Grobiz SME Opportunities Fund


About Grobiz SME Opportunities Fund: Grobiz SME Opportunities Fund is a CAT III fund pioneering the emerging SME investing landscape in India. Spearheaded by a team of seasoned professionals with a stellar track record in SME coaching and investing, Grobiz is poised for significant impact and growth in the Investment Management industry


Role Overview: We are seeking a dedicated Compliance Manager to join our dynamic team. As an integral early member, you will play a crucial role in shaping the fund's compliance framework and overseeing its adherence to regulatory standards. This is a unique opportunity to be closely involved in the fund’s growth journey from its inception.

Qualifications : CS (required) + LLB is a Plus  

Experience required : 5+ years post qualification


What would an ideal candidate look like ?

  • Demonstrated experience with CAT III fund operations. A qualified Company Secretary (CS) is essential, and a degree in Law (LLB) is highly advantageous
  • Proven ability to take ownership of fund operations, manage stakeholder relationships, and interact effectively with regulatory bodies, particularly SEBI
  • In-depth knowledge of fund compliance requirements and the processes needed to ensure full regulatory adherence
  • Eager to be an early member of the team, with a strong interest in contributing to the fund’s growth and development from its foundational stages
  • Previous experience as a Compliance Officer in an Alternative Investment Fund (AIF) will be a strong fit. Legal experience will be considered a valuable asset


Key Responsibilities :

·     Initiate and drive process rigor and accuracy, ensuring compliance with Corporate laws and other relevant regulations

·     Collaborate with various stakeholders related to AIF operations, both within and outside the organization, to align on compliance objectives and drive key opportunities

·     Manage compliance and maintain relationships with regulatory bodies such as the Ministry of Corporate Affairs, Registrar of Companies, Reserve Bank of India, Securities and Exchange Board of India (SEBI), and other statutory authorities

·     Implement and oversee Corporate Governance processes to ensure adherence to best practices and regulatory standards

·     Ensure timely and accurate submission of all required regulatory filings and documentation

·     Oversee processes and filings related to Provident Fund (PF) and other retiral trusts, Corporate Social Responsibility (CSR), and Prevention of Sexual Harassment (POSH) Committees

·     Adhere to all rules and regulations concerning company practices and procedures, supporting compliance with statutory requirements and facilitating legal compliance audits

·     Provide guidance on Company Law matters, including document management, litigation strategy, and process improvements. Anticipate and address a diverse range of legal and business issues proactively

·     Advise the Board of Directors on key managerial and corporate governance issues. Develop and implement policies and procedures to support the company’s objectives


Few points to note :-

  • The role involves ability to work alone as a sole team member handling fund compliances
  • Outstanding Interpersonal skills, with an ability to build a strong network with different stakeholders
  • Key to details and anticipating issues beforehand and finding resolutions by working with different stakeholders
  • Excellent documentation ability and process oriented mindset
  • An experience of 5+ years post qualification , in core secretarial activities with an ability to review legal documentations


What we offer :-

  • Grobiz SME Opportunies Fund is a new emerging AIF with a highly experienced small team offers a significant learning opportunity in the Investment Management industry
  • The right candidate would grow with the firm and would get significant independence to be able to develop holistic skill sets
  • A culture where you have freedom to create a long-term impact in the firm

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