Offshore Compliance Role - Wealth Management - Mutual Fund

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.