01/11 Sakshi Ranawat
Senior Associate - Recruitment at Arin Consultancy

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Compliance Officer - Alternative Investment Fund - Wealth Management Business (7-15 yrs)

Mumbai Job Code: 759828

Job Role:

- Responsible for monitoring and oversight of AIF Compliance

i) Liasoning and co-ordinating with Regulator for AIF compliance and queries

ii) Co-ordinating with counsels for legal support, opinions and clarifications

iii) Liasoning with product and sales team on products and filings

iv) Preparation / Up-dation of Private Placement Memorandum and amendments including Trust Deed

v) Review of Application Form, literatures, factsheets, communiques and communications

vi) Regulatory reporting - Filings monthly / Quarterly report reports, annual CTR

vii) Liasoning for deal closure for unlisted equity transactions, Due Diligence submissions

viii) Monitoring of AML / FATCA compliance and its reporting

ix) Conducting and arranging Committee meetings - valuation committee, investment committee

x) Liasoning with Internal auditors and statutory auditors and effectively handling SEBI inspections

Job specifications and competencies:


Bcom / Mcom / MBA + CS OR Law (Hons)

Years of experience: 7 to 8 years of relevant work experience in Legal, compliance relating to Mutual Funds, AIF, PMS or financial services.

This job opening was posted long time back. It may not be active. Nor was it removed by the recruiter. Please use your discretion.

Women-friendly workplace:

Maternity and Paternity Benefits

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