Manager - Compliance ( Alternative Investment Fund) | Mumbai |

☞ Mount Talent Consulting Private Limited

View: 103

Update day: 06-05-2024

Location: Mumbai Maharashtra

Category: Finance / Bank / Stock Insurance

Industry: Banking

Position: Asset Operations/Documentation-Executive/Manager

Job type: Full Time, Permanent

Experience: 5 - 10 years

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Job content

Roles and Responsibilities

JD-
• Liasoning and coordinating with the Regulator for IA, PMS, AIF compliance and queries.
• Co-ordinating with counsels for legal support, opinions, and clarifications
• Liasoning with product and sales team on products and filings
• Preparation / Up-dation of Private Placement Memorandum and amendments including Trust Deed.
• Review of Application Form, literature, fact-sheets, communiques and communications
• Regulatory reporting - Filings monthly / Quarterly report reports, annual CTR
• Liasoning for deal closure for unlisted equity transactions, Due Diligence submissions
• Monitoring of AML / FATCA compliance and its reporting
• Conducting and arranging Committee meetings - valuation committee, investment committee
• Liasoning with Internal auditors and statutory auditors and effectively handling SEBI inspections.
• Compliance with SEBI procedures (in assistance with external support)
• Preparation and filing of reports with SEBI as required.
• Maintenance of customer files as per SEBI records
• Co-ordinating audits with external vendors that need to be submitted to SEBI.
• Regular follow up on changes in SEBI regulations w.r.t compliances (if any)
• Working with Company Secretary to ensure Compliance with ROC procedures
• Preparation of required material for board meetings.
• Travel outside at least 20% of the time, plus commute within the region.

Required Qualification/Skills
• CS/CA/MBA Finance.
• Project management skills
• Excellent Communication skills
• Ability to Manage assignments independently.

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Desired Candidate Profile



Perks and Benefits



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Deadline: 20-06-2024

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