AIF Compliance Role - Financial Services

AIF Compliance

Roles & Responsibilities :

- Liasoning and co-ordinating with 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, fact-sheets, 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 (in assistance with external support)

- 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)

- Working with Company Secretary to ensure Compliance with ROC procedures

- Preparation of required material for board meetings

- https://in.joblum.com/job/compliance-officer-investment-advisory-pms/235257