Lead - Compliance - AIF

- Registration of CAT-II AIF with SEBI

- Finalizing Trust Deed, PPM, IMA, Contribution Agreements etc.

- Registration of Fund / IM with SEBI Scores, RTA, CKYC, FIU-India, IRS (under FATCA), RTA (for stamp duty payment)

- Filing of quarterly, half yearly and annual returns like QAR, STPI, compliance test reports, consolidated changes in PPM with SEBI / Trustee, FATCA reporting with ITD, FLA reporting with RBI etc.

- Communications with SEBI, RBI, Trustee, investors and stakeholders for AIFs/VCFs

- Reviewing deal documents from Compliance perspective, checking CPs and conditions subsequent related to investments made by AIFs

- Handling appointment of nominee directors on the board of portfolio companies

- Assisted in setting up the AIF trust and launched various schemes, ensuring compliance.

- Drafted the application for MAS Singapore for setting up of an offshore fund.

- Led the incorporation of a Limited Liability Partnership Firm for the asset management vertical.

- Ensuring compliances under SEBI (Alternative Investment Funds), Regulations 2012 and the SEBI (Portfolio Managers) Regulations, 2020.

- Drafted and vetted ESOP schemes and led the automation of ESOP database.

- Penned investor newsletters and other relevant communication as well as handled investor queries.

- Handled SEBI audit, internal audit and statutory audit.

- Co-ordinating PPM Audit, Internal Audit and Statutory Audit

- Collecting, compiling and sharing data to benchmarking agency

- Looking after PMS compliances like monthly reporting, annual filing of compliance certificate, firm-level performance data etc.

- Ensuring compliance with the investment advisory regulations, AIF regulations, RBI regulations, and SEBI Insider Trading Regulations and Companies Act, 2013, across the organisation.

- Responsible for setting up the offshore structure for the firm including incorporating a wholly owned subsidiary, drafting the RBI and SEBI application, and complying with offshore and onshore laws applicable to Waterfield.

- Corresponding with regulators such as RBI, SEBI and ROC for interventions and approvals.

- Interpretation and implementation of applicable circulars/amendments for PMS and AIF

- SEBI approval for change of name post-merger of a Hold co. for its subsidiary in Mauritius. Also coordinated and assisted in getting IFSCA approval for name change

- Keeping track on regulatory update for AIFs / VCFs / PMS businesses, timely update to management and ensuring implementation

- Application to RBI for obtaining prior approval for acquisition of shares/voting rights in banking company

- Worked on PMS Co-investment documentation/procedure for co-investing in domestic and GIFT city fund

- Review and approval of non-disclosure agreements, engagement letters, consultancy and other agreements

- Drafting or review of letters, communication with SEBI, RBI, Trustee, investors,

- Drafting/review of communications/notices/reminder to investee companies/portfolio companies of AIFs

- Drafting/review of various policies, procedures, processes applicable to Fund Manager or AIFs/VCFs/PMS from time to time