Compliance Role - NBFC/PMS/AIF

Key Roles & Responsibilities

Compliance:

- SEBI reporting for AIFs (alternative investment funds), VCFs (venture capital funds) and Portfolio Manager (PMS)

- All applicable compliances under AIF Regulations and PPM of AIFs/VCFs

- SEBI compliances for Portfolio Management Services (PMS)

- RBI Compliances such as: InVi reporting, FC-TRS reporting and FLA Reporting

- Assist in various audits: PPM Audit, Internal Audit and Statutory Audit

- Ensure Compliances of other regulatory registrations such as SCORES, CKYC, KRA, LEI, FATCA, FLA, RBI - FIRMS Portal for InVi and FC-TRS, etc.

- Draft/ Prepare/ Review/ Annual Trustee Compliance Test Report

- Assist in preparation/drafting of applications/letters/communications with SEBI, RBI, trustee, investors or other applicable stakeholders for AIFs/VCFs and PMS

- Assist in winding up and surrender of VCF/AIF registrations

- Interpreting and execution of compliance with requirements of all Fund documents (including side letters)

- Assistance on investor due diligence: AML/KYC checks, world check screening, FATCA compliances etc.

- Investment process: Review condition precedents documents, condition subsequent documents related to investments made by AIFs

- Compliance with investment and exit process as per internal protocol

- Liaising/Communicating with SEBI, RBI, trustee, lawyer, Investment Team, Fund Administration Team, portfolio companies, investors etc.

- To assist nominee directors in applicable Companies Act compliances such as DIR-3 KYC, MBP-1, DIR-8, DIR-2, etc.

- Keep track on regulatory update for AIFs / VCFs / PMS businesses, timely update to management and ensure implementation of the same

- Updating the statutory register required under the Companies Act, 2013

- Drafting of director report as required under the Companies Act, 2013

- Filling of necessary eforms with the ROC

Additional Skills Required

- Computer Proficiency (MS Word, Excel)

- Presentation Skills

- Report Writing & Documentation