Regulatory Compliance Expert for AIF and IPO Operations

3 weeks ago


Mumbai, Maharashtra, India Ativir Financial Consultants Private Limited Full time

Company Overview:

Ativir Financial Consultants Private Limited is a leading Merchant Banking Firm, registered with SEBI as a Category -I firm. The company provides comprehensive business and investment advisory services, including credit appraisal, project financing, equity research, valuation, and financial due diligence.

Job Summary:

We are seeking an experienced Regulatory Compliance Expert to join our team. This role requires strong knowledge of regulatory compliance, particularly in the areas of Alternate Investment Funds (AIFs) and Initial Public Offerings (IPOs).

Responsibilities:

Regulatory Compliance: Ensure adherence to all applicable regulatory requirements related to AIFs and IPOs, including SEBI regulations and guidelines.

Risk Management: Develop and maintain effective compliance policies and procedures to mitigate risks associated with AIF and IPO operations.

Record Keeping: Maintain accurate records of compliance activities, including approvals, policies, and reports.

Reporting: Prepare and submit timely reports to regulatory authorities and management on compliance status.

Audits and Inspections: Facilitate internal and external audits or inspections related to AIF/IPO compliance.

Training: Conduct compliance training sessions for staff members and other stakeholders.

Due Diligence: Perform due diligence for AIFs and IPOs to ensure compliance with regulatory requirements.

Documentation: Review legal documents and agreements to ensure compliance with AIF/IPO regulations.

Monitoring Changes: Stay updated on changes in AIF/IPO regulations and advise the organization on necessary actions.

Requirements:

We are looking for a qualified Company Secretary (CS) with good standing membership in the Institute of Company Secretaries of India (ICSI). The ideal candidate should have at least 5 years of experience in compliance roles, particularly in the AIF and IPO domains.

The selected candidate will have strong knowledge of SEBI regulations and guidelines related to AIFs and IPOs. Excellent written and verbal communication skills are essential, along with attention to detail and strong analytical abilities.

Able to work collaboratively and independently, the successful candidate will also possess strong organizational and time management skills. Familiarity with compliance software and tools is desirable.

Compensation:

The estimated annual salary for this position is ₹12,00,000 - ₹18,00,000 depending on qualifications and experience.



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