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Senior Compliance Officer-(5+ years of experience in Mutual Fund Industry)
3 months ago
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 pertaining to 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.●Conduct research on 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, written communication, and interpersonal skills.●Display ambition, passion, and the ability to perform effectively under pressure.●Sound knowledge of the various other regulations like Companies Act, PMLA, SAST, KYC, Insider Trading etc.
Qualifications :●Preferably with NISM Securities Intermediaries Compliance Certificate.●Experience working in a fund management entity (Preferred)●Hold qualification as a member of the Institute of Company Secretaries of India (ICSI) with relevant experience.
Job Location :Gift City, Gandhinagar
Interested candidates can send resume
