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