Compliance Manager

JOB PURPOSE The Company Secretary will be responsible for maintaining corporate records, compliance with SEBI and other regulatory authorities, corporate governance, and facilitating smooth operation of the company’s boards and committees, with a particular focus on the AIF and PMS businesses. JOB RESPONSIBILITIES Corporate Governance & Compliance: Ensure adherence to corporate governance standards, relevant provisions of the Companies Act,2013, and SEBI regulations, including PMS, AIF, and mutual fund regulations. Advise the board and senior management on the implementation of best corporate governance practices, legal risks, and regulatory developments. Oversee compliance with SEBI (PMS)Regulations, SEBI (AIF)Regulations, and other applicable regulations to ensure proper conduct of the business. Regulatory Filings& Documentation: Ensure timely and accurate filings with regulatory authorities such as SEBI, Registrar of Companies (RoC), and other statutory bodies. Maintain up-to-date statutory records such as registers of members, directors, board resolutions, and others as per applicable regulations. Ensure compliance with ongoing reporting requirements for PMS and AIF offerings, including fund disclosures and filings. Manage regulatory filings for AIF funds, including filings related to fund launch, investment activities, and investor reporting. Board &Shareholder Management: Organize and manage board meetings, AGMs, and other shareholder meetings, including preparing agendas, notices, minutes, and resolutions. Ensure that all regulatory and compliance-related decisions are appropriately captured and documented. Serve as the liaison between the board, investors, and external stakeholders, providing updates on regulatory developments and compliance status. Investor Communication & Relations: Ensure transparent and compliant communication with investors of PMS and AIF products, including the preparation of periodic reports, NAV disclosures, performance updates, and other investor communications. Address investor grievances and manage escalations in line with the regulatory guidelines. Oversee compliance with SEBI’s AIF and PMS disclosure requirements and ensure that all necessary information is disseminated to investors in a timely manner. Legal &Risk Management: Provide legal advice on structuring and setting up PMS and AIF funds, ensuring compliance with SEBI guidelines and other regulations. Provide legal advice on structuring and setting up PMS and AIF funds, ensuring compliance with SEBI guidelines and other regulations. Assist in drafting, reviewing, and negotiating fund documents, contracts, and investment agreements related to PMS and AIF. Ensure proper legal and compliance checks for new products, strategies, and investment vehicles. Work with legal advisors to address and manage potential legal risks related to portfolio management and investment activities. Compliance with AIF & PMS Regulations: Ensure that the company’s PMS and AIF offerings are structured and operated in accordance with the applicable SEBI Regulations. Monitor the regulatory requirements for PMS clients, including documentation, reporting, and compliance with AIF regulations. Oversee the preparation of compliance reports for PMS clients and the filing of annual statements with SEBI as per applicable guidelines. Internal Control &Audit: Coordinate with internal and external auditors to facilitate audit processes, ensuring compliance with financial reporting and internal control mechanisms. Implement and monitor policies and procedures to safeguard the company’s interests and maintain robust compliance processes across PMS and AIF operations. Assist in internal audits to ensure that all operations and transactions are conducted in accordance with legal and regulatory frameworks. Regulatory Liaisons Act as the primary point of contact for SEBI, RBI, and other regulatory bodies for matters related to PMS, AIF, and other investment-related activities. Keep abreast of changes in regulations concerning PMS and AIF and provide updates and guidance to the management team. Prepare submissions to SEBI and other regulatory authorities related to fund-related approvals, renewals, and any other regulatory filings. Corporate Secretarial Functions: Ensure compliance with all statutory requirements for company formation, governance, and operations. Maintain the company’s statutory books and records, including resolutions, minutes, and declarations, ensuring compliance with the Companies Act and relevant regulations. Facilitate smooth operation of the company’s secretarial functions, including managing internal and external communication. Educational Qualification: Qualified Company Secretary (ACS) from the Institute of Company Secretaries of India (ICSI). A degree in Law (LLB)or equivalent qualification is preferred. Experience: Minimum 8-10years of experience in company secretarial roles, preferably within an Asset Management Company, PMS, or AIF industry In-depth knowledge of SEBI regulations, particularly those governing PMS and AIF. Prior experience in regulatory compliance, legal advisory, and governance, including managing AIF funds and PMS portfolios.