Compliance - Am (Financial, Corp Sec)

1 week ago


Mumbai, Maharashtra, India Cacti Global Full time
Job listing Job details

Job Information:

Work Experience

years

Required Skills:

  • Financial Compliance
Location

  • MumbaiEducation Criteria
  • LLBIndustry
  • Financial ServicesVertical
  • LegalDomain
  • Domestic ComplianceSub-Domain
  • Compliance Managed ServicesCity
  • Goregaon EastState/Province
  • MaharashtraCountry
  • IndiaZip/Postal Code
We are a leading alternate legal service provider and talent management solutions company in our industry. Our company is looking for talented attorneys (
Compliance AM - Financial Services) to join our dynamic legal team. You will perform a range of duties including maintaining legal and regulatory compliance registers by researching and communicating.

Role of Compliance AM - Financial Services


A Compliance AM is responsible for maintaining and reviewing SEBI-related compliances for the AIFs, Angel Funds, etc.- Assisting in compliance as per Companies Act, 2013, SEBI AIF regulations and any other regulations as may be applicable to alternative investment funds and its assets manager/sponsor from time to time.


  • Liaising & dealing with Statutory and regulatory authorities such as ROC/RBI /SEBI etc.
  • Familiar with IFSC and GIFT city compliances
    .
  • Maintain and review SEBIrelated compliances for the AIFs, Angel Funds, etc.
  • Assist in reporting to the Board and liaison with Board of directors, internal & external stakeholders
  • Involved in drafting internal policies such as KYC AML Policy, ESG Policy, Insider Trading Policy etc.
  • Should keep abreast with the latest regulatory changes/ requirements and adhere to such requirements
    .
  • Ability to assess, review and develop frameworks, processes and policies.
  • Maintenance of statutory registers and manage tasks related to securities, their transfer and transmission.
  • Manage internal and statutory audits on a regular basis.
  • Assisting in the investment process by AIF and assisting in review and maintenance of transaction documents, conditions precedent and subsequent in relation to investment by AIF.
  • Assisting in maintenance of all documents in relation to receipt of investment by AIF and reporting by AIF to its Trustee, contributors and to the regulators.
  • Assisting to do research under SEBI AIF Regulations, Companies Act, FEMA, regulations related to investment in AIF from various countries and various sectors, and further investment by AIF etc.
  • Other operational works like reporting by AIF, work related to investment by AIF and receipt of investment by AIF, charge execution, maintenance and tracking etc
    ..
  • Independently in charge of Secretarial, Corporate Legal, and Compliance Functions, responsible to protect the company's reputation and compliance risk.
  • Reviewing, providing analytical inputs, and settling legal and transactional documents & agreements; Preparing Contracts / Agreements. Take lead in documents of routine nature/refining already available drafts.

Required Skills:

  • Strong understanding of accounting standards is a must along with Taxation and Company law. Must have ability to interpret financial statements, annual reports and arrive at a logical conclusion.
  • In depth knowledge of taxation laws, SEBI rules and other laws impacting listed entities will be an additional advantage.
  • Innate desire to learn, adapt and deep interest in Equity/ Capital markets.
  • Research regulations by reviewing regulatory bulletins and various other sources of information.
  • Compiles information by coordinating with various stakeholders and departments
  • Keeps other departments abreast of requirements by researching regulatory and filing information; writing and communicating guidelines.
  • Prepares reports by collecting, analyzing, and summarizing information
  • Maintains quality service by establishing and enforcing organization standards

Requirements:

Qualifications:

years of relevant experience in AIF, PE, NBFC etc.regulations

  • Possess a bachelor's or master's degree in Law or Finance
  • Excellent oral and written communication skills.
  • Outstanding research and interpretation skills.
  • Ability to resolve client complaints and concerns.
  • Willingness to work virtually or in an office setting
  • Clear adherence to company policies and procurement rules and regulations
  • Knowledge of laws, legal codes, procedures, and other relevant regulatory standards.
  • Proficiency in MS Office.
  • Sound analytical and critical thinking skills.
  • Attention to detail
  • Global compliance experience, preferred


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