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25/08 Pankaj Ghosh
Business Associate at Dhruv HR

Views:648 Applications:64 Rec. Actions:Recruiter Actions:52

Head - Compliance & Legal - PMS & AIF - Investment Firm - LLB/CS (3-10 yrs)

Mumbai Job Code: 1305879

Career role in one of India's best performing fund houses in their Compliance & legal department - Position reports to the Managing Director & Director Operations.

- Job opportunity for CS Rank holders with 3-7 years of experience.CA with Degree in Law will be a definite plus.

- A boutique Investment Firm & one of the best performing Portfolio Manager/AIF & offshore fund in the country. The firm is also looking at expanding in the international markets and current has an AUM of around $500

Please find the company introduction and job profile below :

- Company is a top performing boutique investment firm. They are a SEBI registered firm having a PMS, AIF and an FPI fund from Dubai International Financial Centre (DIFC).

Job Description :

- A full understanding of SEBI laws and regulations and ensuring compliance with those laws and regulations

- Keeping abreast with the latest regulatory changes and requirements related to SEBI PMS and AIF regulations

- Timely preparation and submission of reports with regulators and board of directors

- Ensuring compliance with all the regulatory laws and regulations applicable to the entities in the group.

- Understand laws and regulations of various international jurisdictions where the company may look at opening offices in the future

- Liaison with SEBI and other international regulatory authorities.

- Monitoring of AML / FATCA compliance and its reporting

- Liaising and coordinating with Regulator for PMS, AIF compliance and queries

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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