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

Views:2262 Applications:90 Rec. Actions:Recruiter Actions:39

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:

Qualification:

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.

Women-friendly workplace:

Maternity and Paternity Benefits

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