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28/11 Shweta
Partner at TruLux

Views:4209 Applications:93 Rec. Actions:Recruiter Actions:49

Manager - Central Compliance - Equities & Investment Banking (4-6 yrs)

Mumbai Job Code: 769976

Opening Central Compliance

Company Financial Services Firm

Location - BKC

Role & Responsibilities:

1. Alternative Investment Fund (AIF) Compliance - Monthly Leverage Reporting to SEBI , Quarterly Reporting to Investors, reviewing of Fund Documents (PPM, distribution agreements etc). Conducting client due diligence process as per AML requirement.

2. Insider Trading Compliance - Daily Monitoring the trade of the Employees, Maintain a list of such securities as a restricted list which shall be used as the basis for approving or rejecting applications for preclearance of trades. Monitoring and reviewing the statement of holdings and transactions received during half yearly. Review of Grey & Restricted list.

3. Merchant Banking Compliance

4. FEMA Compliance


- Institution equity/ IB/ Central Compliance experience

- CS

Women-friendly workplace:

Maternity and Paternity Benefits

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