Senior Manager-Associate Vice President-Compliance-8-10-Mumbai

Role : Senior Manager-Associate Vice President-Compliance

Experience : 8 to 10 Years

Qualification : LLB,CS

Location : Mumbai

Job Description :

The position of Senior Manager / Associate Vice President - Compliance as part of the Compliance and

Corporate Secretarial team. This role will be mainly responsible for the regular compliance and

monitoring of transactions, reporting, and other areas as identified in brief below relating to the

private equity funds.

Responsibilities : a) Compliance

a. Execution of Compliance activity for all statutory requirements in India and GIFT IFSC

(other than direct & indirect taxation) for AMC and Funds

b. Continuous monitoring of relevant circulars / changes under applicable SEBI, RBI and

IFSCA Regulations and sensitizing relevant departments on compliance requirements

and ensuring compliances within timelines.

c. Prepare and maintain compliance calendar for all entities

d. PPM compliance audit

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

f. Updating the compliance monitoring software

b) Registrations and filings

a. Assist in preparation of applications to regulators in SEBI, RBI, IFSCA, FDI, as required

from time to time for various investment transactions.

b. Assisting in finalising and filing the PPM in coordination with Lawyers, Merchant

bankers etc and setting up of Funds in India and GIFT city, Gandhinagar

c. Obtain other necessary regulatory registrations such as SCORES, CKYC, KRA, LEI,

FATCA, SEZ, LOA etc.

d. Filing of FCTRS / FCGPR / InVI / ODI reporting and other requirements under FEMA

e. Winding up and surrender of registrations

c) Fund Documents and investors

a. Interpreting and execution of compliance with requirements of all Fund documents

(incl side letters)

b. Assistance on investor due diligence

c. Conduct AML / KYC checks, FATCA compliances etc. for investors

d. Drafting Advisory Committee Board agenda, notices and minutes;

e. Work with fund Administrator for investor related compliance matters

d) Investment process :

a. Compliance with investment and exit process as per internal protocol, including

compliance with AIF Regulations and Fund documents

b. Monitor post investment conditions and covenants for portfolio companies

c. AML / KYC of the investee company, its directors & shareholders / promoters etc

e) Legal : Review and approval of non-disclosure agreements, engagement letters, consultancy

agreements, and similar agreements as required from time to time.

f) Support CFO and CCO on preparing representations to regulators

g) Manage, upgrade and implement technology platform (along with the tech team) for various

activities explained above

Requirements and Qualifications :

a) Company Secretary and LLB with an experience of approx. 7 plus years post qualification;

a. Experience in working with private equity / venture capital funds is preferred;

b. Financial services experience is a must

b) Excellent oral and written communication skills

c) Good understanding of the relevant regulations

d) Should be well versed with processes and system

e) Ability to work in a team

Education

Master of Law (M.L / L.L.M)

Skills Required

Kyc