Compliance Officer

3 days ago

Gandhinagar, India PPFAS Mutual Fund Full time

PPFAS Asset Management (PPFAS AMC) has been promoted by Parag Parikh Financial Advisory Services Pvt. Ltd. (PPFAS Ltd.), a boutique investment advisory firm incorporated in 1992. PPFAS Ltd. is also amongst India's earliest SEBI Registered Portfolio Management Service (PMS) providers..
- 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.

**Disclaimer**: Below mentioned rule applicable in Mutual Fund Companies:
As per extant rules in place an employee of PPFAS, his spouse, his dependent children and dependent parents are not permitted to trade in shares and securities (primary & secondary market) once they join PPFAS.

Interested? Please click here to fill out the form.

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