- Only Candidates with 3+ years of experience apply|Only Candidates based out of Ahmedabad/ Gandhinagar or willing to relocate apply
About Our Client
Our client is one of India's most esteemed and diversified financial services firms with decades of experience in equity investing.
Job Description
Compliance:
- IFSCA/SEZ/SEBI reporting for AIFs (alternative investment funds) and VCFs (venture capital funds)
- All applicable compliances under AIF Regulations and PPM of AIFs/VCFs pertains to IFSCA/SEZ/SEBI
- SEBI compliances for Portfolio Management Services (PMS)
- RBI Compliances such as: InVi reporting, FC-TRS reporting and FLA Reporting
- Assist in various audits: PPM Audit, Internal Audit and Statutory Audit pertains to an area of compliance and legal
- Obtain other necessary regulatory registrations such as SERF, BLUT, LUT etc related SEZ & IFSCA at Gift City. Further SCORES, CKYC, KRA, LEI, FATCA, FLA, RBI - FIRMS Portal for InVi, FC-TRS, etc.
- Draft/ Prepare/ Review/ Annual Trustee Compliance Test Report
- Assist in preparation/drafting of applications/letters/communications with IFSCA, SEZ, SEBI, RBI, trustee, investors or other applicable stakeholders for AIFs/VCFs
- Ensuring compliances around investor due diligence: AML/KYC checks, world check screening, FATCA compliances etc.
- Investment process: Review condition precedents documents, condition subsequent documents related to investments made by AIFs
- Liaising/Communicating with SEBI, RBI, trustee, lawyer, Investment Team, Fund Administration Team, portfolio companies, investors etc.
- To assist nominee directors in applicable Companies Act compliances such as DIR-3 KYC, MBP-1, DIR-8, DIR-2, etc.
- Keep track on regulatory update for AIFs / VCFs / PMS businesses, timely update to management and ensure implementation of the same
Legal:
- Review and approval of non-disclosure agreements, engagement letters, consultancy agreements, and similar agreements as required from time to time,
- Review and preparation of deed of adherence for transfer/transmission of units of AIFs
- Drafting or review of letters, communication with SEBI, RBI, Trustee, investors,
- Drafting review of communications/notices/reminder to investee companies/portfolio companies of AIFs
- 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
The Successful Applicant
You must be a qualified CS preferably with an LLB qualification and at-least three years of experience especially having exposure to regulators SEBI and RBI. You must have good communication and stakeholder management skills
What's On Offer
Excellent Growth
Competitive Salary
Contact: Deepshi Singh
Quote job ref: JN-112023-6262951
