Birla Sunlife - Deputy Chief Manager - Legal/Compliance & Secretarial

Birla Sun Life - Deputy Chief Manager Legal, compliance and Secretarial

Location: Mumbai

OPERATIONAL COMPLIANCE

- Compliance with SEBI Regulations, terms and conditions of Fund Documents

- Periodic and timely filling of reports with SEBI, Trustee of the Fund and internal AMC reporting requirements

- Seeking approvals from Trustee for Investment, Divestment, Distribution and Drawdown

- Providing support in Audit (internal and Statutory) of Fund and Investee Companies

LEGAL DOCUMENTATION, INVESTMENT SUPPORT AND INVESTMENT COMMITTEE MEETINGS

- Vetting Term Sheet, Execution of Transaction documents, execution of Exit Agreement

- Keeping all the original transaction documents in safe keeping with Custodian

- Advising and minimizing on Stamp duty on various Transaction documents

- To facilitate initiation/defending of legal proceeding by or against the Fund

- Providing support to Investment Team with respect to structure of Investment in line with the provision of applicable law

- Vetting, expressing opinion and suggest changes on various Due Diligence Reports for proposed Investment proposals.

- Updating Investment Team for any change in Law with respect to Real Estate from time to time

- Preparing Agenda, support documents, drafting minutes of the Investment Committee meeting

- Drafting and co-ordinating to pass Circular Resolution as and when required

INCORPORATION OF ALTERNATIVE INVESTMENT FUND (AIF FUND)

- Vetting and providing comments on the structure of the proposed AIF Fund

- Co-ordinate with group entities for information required to set up the AIF Fund

- Review and finalise Fund documents i.e. Trust Deed, Private Placement Memorandum, Investment Management Agreement, Contribution Agreement, Distribution Agreements and Application to be filed with Regulator

- Complete appointment formalities of various service providers i.e. Trustees, Custodians, Registrar & Share Transfer Agents, Distributors and Bankers etc.

- Finalising the process and drafting various policy for the proposed Fund II

- Ensuring Fund II complies with all regulations of various regulators

INVESTMENT MONITORING

- Ensure Compliance (CPs/ CS's etc) under the transaction documents are achieved within Due dates

- Ensure Compliance under the Companies Act are complied by all the Investee Companies

- Maintain Statutory records of all Investee Companies

- Providing support to Investee Companies with respect to matters connected with Companies Act or any other legal matter as the case may be.

SUPPORT TO INVESTOR RELATIONS

- Providing support to Investor Relation department with respect to transfer/ transmission process, drafting Drawdown notice, reminders to Drawdown notice, Suspension letters etc.

- Drafting and reviewing various replies to be issued to Investors complaints

- Drafting responses to Investors Complaints filed with Regulators

- Defending suits filed against the Fund by Investors in various forums i.e. Arbitration proceeding, various Suits in Civil Courts, Consumer Forum etc.

- Ensuring all distributions are in line with Fund Documents