Company Secretary - AIF/PMS/Investment Advisory

Job Description for Compliance cum Company Secretary

(PMS, AIF and Investment Advisory activities)

A. Legal Work

- Handling all matters related with Legal affairs including arbitration, courts & reply on third party notices

- Initiating, drafting, updating & regular checking of Clients agreements / declarations / submissions related with AIF, PMS & RIA Clients.

- Initiating, drafting, updating & regular checking of Distributor agreements, custom amendments thereof and closure of custom agreements in liaison with counter party

- Drafting, vetting, negotiating and executing various commercial/business contracts and agreements, NDA.

B. Regulatory Work (SEBI)

- Preparation and review of various policies under Portfolio Managers Regulations, AIF Regulations, RIA Regulations, KYC Regulations, SAST Regulations

- Preparation, updation and timely review of Compliance manual, Checklist, Tracking and reporting.

- Initiating, drafting, checking & Filing Monthly/Quarterly/Half Yearly/ Yearly submission to SEBI.

- Preparing & updating data on Company Website as per the requirement of SEBI/RBI/MCA.

- Initiating, drafting, checking & submission of changes in Scheme document like PPM and Disclosure Document.

- Preparing & implementing requirement related with Cybersecurity coordination with IT/Operational team

- Coordination and Liaising with RTA, internal auditors, Legal consultants, Merchant Banker for various matters & completing all related compliances.

- Coordination and Liaising with Tax Consultants for periodical NRI related regulatory needs, data preparation & submission (PFIC, K1)

- Handling all mattes related with Insider Trading related regulatory work (e.g. Staff related Quarterly Disclosures, Verification & making relevant reports)

- Preparing & implementing requirement related with benchmarking of disclosure standards of performance data with CRISIL/equivalent agency.

- FATCA reporting - preparing file of US & NON US clients as per FATCA guidelines

- Coordinating with Inspection officials as and when needed

- Coordination with AIF Trustees for all matters related with AIF Compliances

- Maintaining tracker for monitoring overall Compliance from RBI/MCA/SEBI circulars & ensuring timely compliance by taking appropriate actions

- Training Operation/onboarding/Sales team about all regulatory matters from time to time.

- Application / Renewal of registration with SEBI

- Communicating and liaisoning with regulators, auditors, consultants etc.

C. RBI / PMLA Compliances

- Proactive approach to Keep up to date with any regulatory or statutory changes and policies related with our activities.

- Timely Filing of RBI / FEMA / PMLS related returns/reports, if any

D. Secretarial Work

- Allotment of securities & filing of returns with ROC and issuance of share certificates, as and when

- Handling all matters related with Incorporation of Company, Trust, LLP etc. as and when

- Preparing & finalizing Board & AGM agenda, draft resolutions, minutes, conveying decisions, handling correspondence related to it.

- Ensuring timely preparation and submission of all periodical & annual filling related documents, returns and resolution with MCA.

- Preparing resolutions & updating minutes & minutes book related with Board, AGM, SGM meetings etc.

- Maintaining all registers as required by Companies Act, 2013 in liaison with CS Consultant

- Undertaking Annual exercise about Secretarial Compliance

E. Misc.

- Handling matters related with ESOPs, ESOP Policy

- Assisting management for project specific work e.g. IFSC

Required Candidate profile

- 7 to 8 years' of recent experience with a Portfolio Manager, Alternative Investment Fund

- Fluency in English language

- Good drafting & articulation skill

- Advanced knowledge of Word, Excel

- Good network with other fellow professionals

Expected Qualification:

Post Graduate, CS, LLB or equivalent