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19/12 Kanchi Jain
HR Executive at Arin Consultancy Private Limited

Views:3636 Applications:79 Rec. Actions:Recruiter Actions:5

Offshore Compliance Role - Wealth Management - Mutual Fund (2-7 yrs)

Mumbai Job Code: 646009

Job Role:

Responsible for monitoring and oversight of Offshore Compliance

i) Act as Compliance officer for ensuring regulatory requirements and licence conditions for offshore subsidiaries;

ii) Advising on FPI / FDI norms;

iii) Vetting of all marketing and distribution material(s) and ensuring proper disclaimers / legends in the materials;

iv) Maintenance of various regulatory records and registers, filing of regulatory and other returns, do necessary registration of products with regulators and maintain a good professional relationship with Regulators;

v) Effectively handling SEC / FINRA / DIFC inspection and / or audit from time to time for offshore subsidiaries;

vi) Providing advise on PFIC, FATCA, solicitation in offshore jurisdiction;

vii) Proper evaluation / KYC of every client on-boarded and ensuring it meets the regulatory requirement like client being an accredited or institutional client;

viii) Liasioning with counsels for seeking legal opinions for offering of products in various jurisdictions;

ix) Implementing policies and procedures for offshore offering including compliance process and responding to offering related queries.

Job specifications and competencies:

Qualification:

Bcom / Mcom / MBA + CS OR Law (Hons)

Years of experience: 7 to 8 years of relevant work experience in Legal, compliance relating to FPI, Offshore fund set up, Mutual Funds, AIF.

This job opening was posted long time back. It may not be active. Nor was it removed by the recruiter. Please use your discretion.

Women-friendly workplace:

Maternity and Paternity Benefits

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