JOB DESCRIPTION :

Experience : 4 to 5 years experience in AIF industry for Compliance and Legal

Qualification : LLB and CS is mandatory

Role and Responsibilities :

Compliance :

A. SEBI reporting for AIFs (alternative investment funds) and VCFs (venture capital funds)

B. All applicable compliances under AIF Regulations and PPM of AIFs/VCFs

C. SEBI compliances for Portfolio Management Services (PMS)

D. RBI Compliances such as: InVi reporting, FC-TRS reporting and FLA Reporting

E. Assist in various audits: PPM Audit, Internal Audit and Statutory Audit

F. Monitor applicable compliance requirements for Fund in Mauritius by closely working with the administrator in Mauritius

G. Obtain other necessary regulatory registrations such as SCORES, CKYC, KRA, LEI, FATCA, FLA, RBI - FIRMS Portal for InVi and FC-TRS, etc.

H. Draft/ Prepare/ Review/ Annual Trustee Compliance Test Report

I. Assist in preparation/drafting of applications/letters/communications with SEBI, RBI, trustee, investors or other applicable stakeholders for AIFs/VCFs

J. Assist in winding up and surrender of VCF/AIF registrations

K. Interpreting and execution of compliance with requirements of all Fund documents (including side letters)

L. Assistance on investor due diligence: AML/KYC checks, world check screening, FATCA compliances etc.

M. Investment process: Review condition precedents documents, condition subsequent documents related to investments made by AIFs

N. Updating the investment compliance monitoring portal - PROMISE

O. Compliance with investment and exit process as per internal protocol

P. Liaising/Communicating with SEBI, RBI, trustee, lawyer, Investment Team, Fund Administration Team, portfolio companies, investors etc.

Q. Liaising with Secretarial team for requisite board resolution or other required documents

R. Obtain/update DSC, DIN for authorised signatories, nominee directors

S. To assist nominee directors in applicable Companies Act compliances such as DIR-3 KYC, MBP-1, DIR-8, DIR-2, etc.

T. Keep track on regulatory update for AIFs / VCFs / PMS businesses, timely update to management and ensure implementation of the same

Legal :

A. Review and approval of non-disclosure agreements, engagement letters, consultancy agreements, and similar agreements as required from time to time,

B. Review and preparation of deed of adherence for transfer/transmission of units of AIFs

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

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

E. Drafting or review of various policies, procedures, processes applicable to Fund Manager or AIFs/VCFs from time to time, including but not limited to PMLA Policy, Conflict of Interest Policy, Risk Management Policy, Outsourcing Policy, Stewardship Policy, etc.

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