Assistant Manager - Financial Compliances

Role of Compliance AM - Financial Services

A Compliance AM is responsible for maintaining and reviewing SEBI-related compliances for the AIFs, Angel Funds, etc.

- Assisting in compliance as per Companies Act, 2013, SEBI AIF regulations and any other regulations as may be applicable to alternative investment funds and its assets manager/sponsor from time to time.

- Liaising & dealing with Statutory and regulatory authorities such as ROC/RBI /SEBI etc.

- Familiar with IFSC and GIFT city compliances.

- Maintain and review SEBI-related compliances for the AIFs, Angel Funds, etc.

- Assist in reporting to the Board and liaison with Board of directors, internal & external stakeholders

- Involved in drafting internal policies such as KYC AML Policy, ESG Policy, Insider Trading Policy etc.

- Should keep abreast with the latest regulatory changes/ requirements and adhere to such requirements.

- Ability to assess, review and develop frameworks, processes and policies.

- Maintenance of statutory registers and manage tasks related to securities, their transfer and transmission.

- Manage internal and statutory audits on a regular basis.

- Assisting in the investment process by AIF and assisting in review and maintenance of transaction documents, conditions precedent and subsequent in relation to investment by AIF.

- Assisting in maintenance of all documents in relation to receipt of investment by AIF and reporting by AIF to its Trustee, contributors and to the regulators.

- Assisting to do research under SEBI AIF Regulations, Companies Act, FEMA, regulations related to investment in AIF from various countries and various sectors, and further investment by AIF etc.

- Other operational works like reporting by AIF, work related to investment by AIF and receipt of investment by AIF, charge execution, maintenance and tracking etc..

- Independently in charge of Secretarial, Corporate Legal, and Compliance Functions, responsible to protect the company's reputation and compliance risk.

- Reviewing, providing analytical inputs, and settling legal and transactional documents & agreements; Preparing Contracts / Agreements. Take lead in documents of routine nature/refining already available drafts.

Required Skills:

- Strong understanding of accounting standards is a must along with Taxation and Company law. Must have ability to interpret financial statements, annual reports and arrive at a logical conclusion.

- In depth knowledge of taxation laws, SEBI rules and other laws impacting listed entities will be an additional advantage.

- Candidates with accounting/ audit/ advisory/ tax experience will be preferred.

- Innate desire to learn, adapt and deep interest in Equity/ Capital markets.

- Research regulations by reviewing regulatory bulletins and various other sources of information.

- Compiles information by coordinating with various stakeholders and departments

Keeps other departments abreast of requirements by researching regulatory and filing information; writing and communicating guidelines.

- Prepares reports by collecting, analyzing, and summarizing information

- Maintains quality service by establishing and enforcing organization standards

Requirements

Qualifications:

- 3 - 5 years of relevant experience in AIF, PE, NBFC etc. regulations

- Possess a bachelor's or master's degree in Law or Finance

- Excellent oral and written communication skills.

- Outstanding research and interpretation skills.

- Ability to resolve client complaints and concerns.

- Willingness to work virtually or in an office setting

- Clear adherence to company policies and procurement rules and regulations

- Knowledge of laws, legal codes, procedures, and other relevant regulatory standards.

- Proficiency in MS Office.

- Sound analytical and critical thinking skills.

- Attention to detail

- Global compliance experience, preferred