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Compliance Associate

3 months ago

Mumbai, India Vivriti Asset Management Full time

Role - Associate - Compliance - Mumbai

Key Responsibilities:

  • 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 asset manager/sponsor from time to time.
  • Liaising & dealing with Statutory and regulatory authorities such as ROC/RBI /SEBI etc.
  • Assist in reporting to the Board and liaison with Board of directors, internal & external stakeholders.
  • Conducting of Board, general and other committee meetings.
  • Drafting of minutes of Board, general and other committee meetings and follow up actions thereof.
  • Must be proficient in filings required under SEBI AIF Regulations, Companies Act, 2013, FEMA etc. and handling the website of SEBI Intermediary Portal, RBI, RBI-FIRMS Portal and the Ministry of Corporate Affairs etc.
  • 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 framework, processes and policies.
  • Maintenance of statutory registers and manage tasks related to securities, their transfer and transmission.
  • Manage internal and statutory audits on regular basis.
  • Assisting in investment process by AIF and assist to 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.
  • Any other secretarial and operational support to the Company’s existing structure.
  • Possess good inter-personal skills and maintain cordial relationships with internal and external stakeholders.

Desired Skills:

  • Be a qualified member of the Institute of Company Secretaries of India (ICSI) with minimum of 3 years’ experience. The person will be responsible for handling the entity’s compliance, operations, and secretarial activities.
  • Possess relevant secretarial experience, preferably in asset management and alternative investment funds sector.
  • Good understanding of financial sector and AIF business in particular.
  • Should be equipped to do research under SEBI AIF Regulations, Companies Act, FEMA, regulations related to investment in AIF through various sectors/industry, various jurisdictions and preferably experienced in dealing with foreign law firms in relation to the same.
  • Should be dynamic and a team-player at the same time should be able to handle independently the given tasks.
  • Possess good oral, written communication, and interaction skills.
  • Be ambitious and passionate as we are and ability to work effectively under pressure.


Mode of Work: Work from office

Location: Mumbai


Who we are:

Vivriti is a young, dynamic, and spirited institution that boasts of a large appetite for success through its vision of creating the largest and most valuable platform for enterprise finance. The word ‘Vivriti’ means progress or development and speaks volumes about our passion to continuously strive for results that add value to our ecosystem. At Vivriti, we are mission driven, challenging the status quo each day, reinventing the Indian mid-market debt market space, and creating an industry in itself.

Over the last five years, the group that consists of two companies – Vivriti Capital, a unique enterprise fintech NBFC, and Vivriti Asset Management, India’s fastest growing digital alternate debt fund manager, has built significantly on its vision. Vivriti presently manages assets in excess of US$ 800 Mn, has offices in Chennai, Mumbai, Bangalore, Delhi and Jaipur, and consists of a high-powered team of 200+.

Why Join Us?

We are a high energy and supremely passionate bunch of individuals. This is a diverse group of people, who would be best in what they do, are diverse and inclusive, are collaborative and extremely hardworking. Indeed a very inspiring peer group. This is a team with a shared goal of reshaping the Indian mid-market enterprise debt market and change lives of millions of people through our work.

We have a keen eye for great talent, have an appreciation for potential, and an environment which facilitates hyper-performance. Vivriti is known to present a platform to excel for those who have a desire to reach great heights in their career. We nurture our team with great care, encourage ambition, are compassionate in your failures and cheer your successes. We’re proud of our collaborative culture; everyone is ready to lend a helping hand, whether it’s your first day on the job or your thousandth.

Our Rewards mechanisms are aggressive. High Performance fetches non-linear Rewards. In addition to the fixed component and variable pay, we ensure long term wealth creation for our critical employees through employee stock options. Vivriti is the first tech focused NBFC and asset manager that has provided ESOP liquidity in the last 15 years .

We invest in our employees through developmental programs, Professional Development Allowances and Education Grants.

Our Benefits are better than the best. To list a few below -

Medical Care, Life and Personal Accident Insurance, Critical illness cover

Interest free loans of up to INR 10 Lacs, with no questions asked

Promoting health and wellness at the office with a well-equipped gymnasium, indoor sports facilities and recreation room. Motivating through regular fitness challenges and sports events and leagues.

Caring for your health with nutritious food, fruits served round the clock, variety of beverages, etc.

Ensuring maximum fun environment through Vivriti Premier League – a cross-team collaboration championship challenge, which is a 10-month long series of sporting contests, recreation activities on the floor, cultural celebrations, etc.

Life at Vivriti: