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09/09 Recruiter
Director at DCSPL

Views:161 Applications:55 Rec. Actions:Recruiter Actions:37

Manager - Compliance & Legal - BFSI - LLB (1-6 yrs)

Mumbai Job Code: 976338

One of our esteemed clients is looking for a Manager: Compliance & Legal, to be part of their legal and compliance team. The role is for growth-oriented people with entrepreneurial mindset. Please find the company introduction and job profile below.

About the client:

It is a top performing boutique investment firm managing more than $ 180 million AUM with more than 30 % CAGR over 9 years, leading to more than 1000% absolute returns since inception.

They work with very niche clientele comprising select UHNW individuals and family offices with a direct relationship with all their clients. They invest in high quality small and mid-cap listed companies that are industry leaders with a potential for long term wealth creation. The founder, has been working in the industry for over 20 years now and is very well known in the industry for understanding market cycles and identifying high quality companies through his contrarian approach.

What to Expect:

- Prior work experience in not a pre-requisite. client will teach you on the job.

- Steep growth trajectory based on individual as well as firm performance

- Opportunity to work with a brilliant and fun team of stellar individuals (CA/CS/IIT/IIM-ISB)

- Part of a growing team which is expected to grow from 10 to 30 people and establish

- international offices Exposure to tax and compliance related work in international financial markets

Job Description:

- A full understanding of SEBI laws and regulations and ensuring compliance with those laws and regulations Ensuring compliance with all the regulatory laws and regulations applicable to the entity

- 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 co-ordinating with Regulator for PMS, AIF compliance and queries

- Co-ordinating with counsels for legal support, opinions and clarifications

- Other day to day activities as might be required in discharging the duties of a compliance officer.


- Chartered accountants or Company secretary (First attempt and rankholders). An LLB degree will be an added advantage.

- Prior work experience in not a pre-requisite. Client will teach you on the job.

- A growth mindset and ability to understand and interpret Indian and international laws.

Pay - Better than Industry standards

Women-friendly workplace:

Maternity and Paternity Benefits

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