Financial Compliance

1 week ago

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

Job Information:

Work Experience
yearsSkillset

  • Compliance SMELocation
  • 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

Benefits:

What's there for you
We'll equip you for the future, both yours and ours, whatever it may bring. We believe that enjoyment and satisfaction at work go hand in hand.


We are proud to offer a competitive and innovative employment package that's committed to the health, success and well-being of all of our people.

We also have several initiatives to help our people strike the necessary work / life balance such as (a) Working from home and (b) Part-time working / re

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