Work Industry: AIF/ PMS

Job Purpose (Job Summary):
The individual will be responsible for leading the risk management and compliance fundraising across all the products independently as well as in close coordination with the senior
management.

Key Responsibilities / Duties:

(A) Regulatory Compliance (SEBI/RBI/LLP/Income Tax)

• Ongoing compliances and Reporting’s as required under SEBI AIF Regulations which includes monthly/quarterly and annual submissions with SEBI and investors
• Ongoing compliances and Reporting’s as required under SEBI PMS and IA Regulations
• Ensure timely completion of Audits as required under the aforesaid regulations
• Ensure ongoing and event-based submissions with RBI and Income Tax (FATCA/CRS, FIRMS,FLA, etc)
• Keep a regular tap on the regulations/circulars, assess the impact on the business and inform the management accordingly.

(B) Board and Committee

• Periodically conduct Board and committee meetings
• Prepare agenda and other related documents required for the meeting and circulate with the members. Prepare minutes of the meeting and keep signed minutes in the record
• Implement actions suggested by the Board or Committee members and maintain details thereof.

(C) Offshore Fund

• Coordinate with administrator, management company, lawyers and other service providers for various compliances required for the Fund
• Compliances with regards to the Foreign Portfolio Investor

(D) Corporate Secretarial and Legal

• Prepare resolutions, agendas, minutes as may be required for the ongoing business activities of the company and its group entities.
• Ensure timely filing of different forms with ministry of corporate affairs (MCA)
• Draft and implement new policies as and when required. Also review the existing policies and ensure compliance. Draft/Review different agreements, manuals and processes as per the
• business requirement

(E) Risk Monitoring and insider trading

• Ensure the individual security level and sector level limits are followed and maintained as defined under the SEBI Regulations and as per the internal policy at company.
• Ongoing check on the recorded lines of dealing room and ensure compliances.
• Ensure compliance and maintain records pertaining to insider trading
• Review Marketing material and other marketing/sales documents

Experience, Skills, and Personal Qualities

• 5 to 10 years of experience in handling the compliance and risk management function in Allied industries (AIF / PMS)
• Qualified Company Secretary, a law degree will be an added advantage