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Compliance - Am (Financial, Corp Sec)

3 months ago

Mumbai, India Cacti Global Full time

Job listing Job details

**Job Information**:
Work Experience
- 2 - 4 years**Required Skills**:

- Financial Compliance

Location
- MumbaiEducation Criteria
- LLBIndustry
- Financial ServicesVertical
- LegalDomain
- Domestic ComplianceSub-Domain
- Compliance Managed ServicesCity
- Goregaon EastState/Province
- MaharashtraCountry
- IndiaZip/Postal Code
- 400063We 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 SEBI-related 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**:

- 3 - 5 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