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Head of Compliance
2 months ago
Are you ready to be part of a dynamic Asset Management company. As Carnelian Asset Management, we provide a platform to innovate and grow.
Who thrives in Carnelian?
- Self driven
- Ambitious
- Out of box thinker
- Team Players
- Adpatable
- Customer focussed
- Compliance oriented
About us
We are a fast growing Asset Management firm headquarred in Mumbai having multiple offices in the country. We currently manages over USD 1 bn in assets across several PMS & AIFs and Offshore fund. We specializes in Indian equity investments for HNIs, Family Offices, Institutions, and Partners' own capital. Carnelian works with varied range of wealth partners such as 360 One, Nuvama, Julieus Baer, Barclays, ICICI Bank, HDFC Bank, Axis Bank, ASK wealth and many more. The company is known for its values, expertise, and best practices, with a focus on quality investments at a reasonable price and risk diversification through forensic analysis.
Role Description
This is a full-time on-site role for a Head of Compliance & Company Secretary at Carnelian. The role involves overseeing compliance management, regulatory compliance, and legal compliance strategies. The candidate will be responsible for ensuring adherence to regulations, conducting analytical assessments, and maintaining legal compliance standards.
Qualifications
Compnay Secretary, Charetered Accountants, LLB with minimum 8-10 years of experience in the related field.
Comeptency needed:
- Compliance Management, Regulatory Compliance, and Legal Compliance skills
- Analytical Skills
- Experience in interpreting and implementing regulations
- Attention to detail and strong problem-solving abilities
- Ability to work collaboratively with cross-functional teams
- Knowledge of financial regulations and compliance frameworks
- Relevant certification in compliance or related field
- Excellent communication and interpersonal skills
Job Description for Compliance cum Company Secretary
A. Legal Work
- Handling all matters related with Legal affairs including arbitration, courts & reply on third party notices
- Initiating, drafting, updating & regular checking of Clients agreements / declarations / submissions related with AIF, PMS & RIA Clients.
- Initiating, drafting, updating & regular checking of Distributor agreements, custom amendments thereof and closure of custom agreements in liaison with counter party
- Drafting, vetting, negotiating and executing various commercial/business contracts and agreements, NDA.
B. Regulatory Work (SEBI)
- Preparation and review of various policies under Portfolio Managers Regulations, AIF Regulations, RIA Regulations, KYC Regulations, SAST Regulations
- Preparation, updation and timely review of Compliance manual, Checklist, Tracking and reporting.
- Initiating, drafting, checking & Filing Monthly/Quarterly/Half Yearly/ Yearly submission to SEBI.
- Preparing & updating data on Company Website as per the requirement of SEBI/RBI/MCA.
- Initiating, drafting, checking & submission of changes in Scheme document like PPM and Disclosure Document.
- Preparing & implementing requirement related with Cybersecurity coordination with IT/Operational team
- Coordination and Liaising with RTA, internal auditors, Legal consultants, Merchant Banker for various matters & completing all related compliances.
- Coordination and Liaising with Tax Consultants for periodical NRI related regulatory needs, data preparation & submission (PFIC, K1)
- Handling all mattes related with Insider Trading related regulatory work (e.g. Staff related Quarterly Disclosures, Verification & making relevant reports)
- Preparing & implementing requirement related with benchmarking of disclosure standards of performance data with CRISIL/equivalent agency.
- FATCA reporting – preparing file of US & NON US clients as per FATCA guidelines
- Coordinating with Inspection officials as and when needed
- Maintaining tracker for monitoring overall Compliance from RBI/MCA/SEBI circulars & ensuring timely compliance by taking appropriate actions
- Training Operation/onboarding/Sales team about all regulatory matters from time to time.
- Application / Renewal of registration with SEBI
- Communicating and liaisoning with regulators, auditors, consultants etc.
C. RBI / PMLA Compliances
- Proactive approach to Keep up to date with any regulatory or statutory changes and policies related with our activities.
- Timely Filing of RBI / FEMA / PMLS related returns/reports, if any
D. Secretarial Work
- Allotment of securities & filing of returns with ROC and issuance of share certificates, as and when
- Handling all matters related with Incorporation of Company, Trust, LLP etc. as and when
- Preparing & finalizing Board & AGM agenda, draft resolutions, minutes, conveying decisions, handling correspondence related to it.
- Ensuring timely preparation and submission of all periodical & annual filling related documents, returns and resolution with MCA.
- Preparing resolutions & updating minutes & minutes book related with Board, AGM, SGM meetings etc.
E. Misc.
- Handling matters related with ESOPs, ESOP Policy
- Assisting management for project specific work e.g. IFSC
