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Senior Compliance Officer

2 months ago

Gandhinagar, India Talent Corner HR Services Pvt Ltd Full time

We are hiring for one of our Clients who is into 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 about 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.

- Research 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, and written communication and interpersonal skills.

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

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

Qualifications :

- Graduate/Post Graduate, Preferably with NISM Securities Intermediaries Compliance Certificate.

- Experience working in a fund management entity (Preferred)

- Qualify as a member of the Institute of Company Secretaries of India (ICSI) with relevant experience

(ref:iimjobs.com)