HR at Peoplenomic Consulting Firm
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AIF Compliance Role - BFS (5-7 yrs)
- Liaising and coordinating with the Regulator for IA, PMS, AIF compliance and queries.
- Coordinating with counsels for legal support, opinions, and clarifications
- Liasoning with product and sales team on products and filings
- Preparation / Updation of Private Placement Memorandum and amendments including Trust Deed.
- Review of Application Form, literature, factsheets, communiques and communications
- Regulatory reporting ; Filings monthly / Quarterly report reports, annual CTR
- Liasoning for deal closure for unlisted equity transactions, Due Diligence submissions
- Monitoring of AML / FATCA compliance and its reporting
- Conducting and arranging Committee meetings ; valuation committee, investment committee
- Liasoning with Internal auditors and statutory auditors and effectively handling SEBI inspections.
- Compliance with SEBI procedures
- Preparation and filing of reports with SEBI as required.
- Maintenance of customer files as per SEBI records
- Co-ordinating audits with external vendors that need to be submitted to SEBI.
- Regular follow up on changes in SEBI regulations w.r.t compliances (if any)
- Preparation of required material for board meetings
- 5 to 7 years in an asset management MF/ AIF/PMS business.
- Position; Manager to manage the day-to-day AIF/PMS/IA compliances
- Project management skills
- Excellent Communication skills
- Ability to Manage assignments independently
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